1988)"

KFkJ/mvi/.rta/KJ

MAR 1? 198 8

NORTH CAROLINA

IN THIS ISSUE

COHo

TITUl lit/)

||tiom| o

EXECUTIVE ORDERS

FINAL DECISION LETTERS

PROPOSED RULES
Agriculture

Crime Control and Public Safety
Human Resources
Insurance
Justice
Labor

Medical Examiners
NRCD
Real Estate
State Personnel

LIST OF RULES AFFECTED

ISSUE DATE: MARCH 15, 1988
Volume 2 • Issue 12 • Pages 951-1 1 1 1

INFORMATION ABOUT THE NORTH CAROLINA REGISTER AND ADMINISTRATIVE CODE

NORTH CAROLINA REGISTER

The North Carolina Register is published monthly and
contains information relating to agency, executive,
legislative and judicial actions required by or affecting
Chapter 150B of the General Statutes. All proposed, ad-
ministrative rules and amendments filed under Chapter
150B must be published in the Register. The Register
will typically comprise approximately one hundred
pages per issue of legal text.

State law requires that a copy of each issue be pro-
vided free of charge to each county in the state and to
various state officials and institutions. The North
Carolina Register is available by yearly subscription at
a cost of ninety-five dollars ($95.00) for 12 issues.

Requests for subscriptions to the North Carolina
Register should be directed to the Office of Ad-
ministrative Hearings, P. 0. Drawer 1 1666, Raleigh, N.
C. 27604, Attn: Subscriptions.

ADOPTION, AMENDMENT, AND REPEAL OF
RULES

An agency intending to adopt, amend, or repeal a rule
must first publish notice of the proposed action in the
North Carolina Register. The notice must include the
time and place of the public hearing; a statement of how
public comments may be submitted to the agency either
at the hearing or otherwise; the text of the proposed
rule or amendment; a reference to the Statutory
Authority for the action and the proposed effective date.

The Director of the Office of Administrative Hearings
has authority to publish a summary, rather than the
full text, of any amendment which is considered to be
too lengthy. In such case, the full text of the rule con-
taining the proposed amendment will be available for
public inspection at the Rules Division of the Office of
Administrative Hearings and at the office of the pro-
mulgating agency.

Unless a specific statute provides otherwise, at least
30 days must elapse following publication of the pro-
posal in the North Carolina Registerbciore the agency
may conduct the required public hearing and take ac-
tion on the proposed adoption, amendment or repeal.

When final action is taken, the promulgating agency
must file any adopted or amended rule for approval by
the Administrative Rules Review Commission. Upon ap-
proval of ARRC, the adopted or amended rule must be
filed with the Office of Administrative Hearings. If it
differs substantially from the proposed form published
as part of the public notice, upon request by the agen-
cy, the adopted version will again be published in the
North Carolina Register.

A rule, or amended rule cannot become effective
earlier than the first day of the second calendar month
after the adoption is filed with the Office of Ad-
ministrative Hearings for publication in the NCAC.

Proposed action on rules may be withdrawn by the
promulgating agency at any time before final action is
taken by the agency.

TEMPORARY RULES

Under certain conditions of an emergency nature,
some agencies may issue temporary rules. A temporary
rule becomes effective when adopted and remains in

effect for the period specified in the rule or 180 days,
whichever is less. An agency adopting a temporary rule
must begin normal rule-making procedures on the per-
manent rule at the same time the temporary rule is
adopted.

NORTH CAROLINA ADMINISTRATIVE CODE

The North Carolina Administrative Code (NCAC) is
a compilation and index of the administrative rules of
25 state agencies and 38 occupational licensing boards.
The NCAC comprises approximately 1 5,000 letter size,
single spaced pages of material of which approximate-
lv 35% is changed annually. Compilation and publica-
tion of the NCAC is mandated by G.S. 150B-63(b).

The Code is divided into Titles and Chapters. Each
state agency is assigned a separate title which is fur-
ther broken down by chapters. Title 21 is designated
for occupational licensing boards.

The NCAC is available in two formats.

(1) Single pages may be obtained at a minimum
cost of two dollars and 50 cents ($2.50) for 10
pages or less, plus fifteen cents ($0.15) per each
additional page.

(2) The full publication consists of 52 volumes,
totaling in excess of 15,000 pages. It is sup-
plemented monthly with replacement pages. A
one year subscription to the full publication in-
cluding supplements can be purchased for
seven hundred and fifty dollars ($750.00). In-
dividual volumes may also be purchased with
supplement service. Renewal subscriptions for
supplements to the initial publication available.

Requests for pages of rules or volumes of the NCAC
should be directed to the Office of Administrative
Hearings.

NOTE

The foregoing is a generalized statement of the pro-
cedures to be followed. For specific statutory language,
it is suggested that Articles 2 and 5 of Chapter 150B of
the General Statutes be examined carefully.

CITATION TO THE NORTH CAROLINA
REGISTER

The North Carolina Register is cited by volume, issue,
page number and date. 1:1 NCR 101-201, April 1, 1986
refers to Volume 1, Issue 1, pages 101 through 201 of
the North Carolina Register issued on April 1, 1986.

North Carolina Register. Published monthly by
the Office of Administrative Hearings, P.O.
Drawer 1 1666, Raleigh, North Carolina 27604, pur-
suant to Chapter 150B of the General Statutes.
Subscriptions ninety-five dollars ($95.00) per year.
North Carolina Administrative Code. Published
in looseleaf notebooks with supplement service by
the Office of Administrative Hearings, P.O.
Drawer 1 1666, Raleigh, North Carolina 27604, pur-
suant to Chapter 150B of the General Satutes.
Subscriptions seven hundred and fifty dollars
($750.00). Individual volumes available.

NORTH
CAROLINA
REGISTER

ISSUE CONTENTS

EXECUTIVE ORDERS

Executive Order 67

951

II. FINAL DECISION LETTERS

Voting Rights Act 952

Office of Administrative Hearings

P. O. Drawer 11666

Raleigh, NC 27604

(919) 733 - 2678

Robert A. Melott,

Director
James R. Scarcella, Sr.

Deputy Director
Molly Mason,

Assistant Director

Staff:

Ruby Creech,

Publications Coordinator
Teresa Johnson,

Editorial Assistant
Jean Shirley,

Editorial Assistant
Latarsha Roberts,

Records Clerk

III. PROPOSED RULES
Agriculture

Structural Pest

Control Division 954

Crime Control and

Public Safety

Departmental Rules 1086

Fire Commission 1090

Human Resources

Facihty Services 965

Health Services 967

Mental Health: General 973

Mental Health:

Other Programs 1042

N.C. Drug Commission 1070

Insurance

Departmental Rules 1070

Justice

Alarm Systems Licensing

Board 1075

Labor
Apprenticeship and

Training Division 1086

Boiler and Pressure

Vessel 1085

Conciliation and

Arbitration Division 1079

Departmental Rules 1077

Mine and Quarry 1079

Office of Occupational

Safety and Health 1079

Wage and Hour 1084

Licensing Boards

Medical Examiners 1094

Real Estate 1097

NRCD

Departmental Rules 1090

Environmental Management.... 1091

State Personnel

Office of State Personnel 1100

FV. LIST OF RULES AFFECTED

March 1, 1988 1102

V. CUMULATIVE INDEX 1107

NORTH CAROLINA REGISTER

Publication Deadlines and Schedules

(January 1988 - March 1989)

Issue

Last Day

Last Dav

Earliest

♦

Date

for

Date for

Earliest

Liling

Electronic

Public

Effective

Liling

Hearing &
Adoption by
Agency

Date

********

01/15/88

12/28/87

01/04,-88

02/14/88

05/01/88

02 15 SS

01/26/88

02 02 88

03/16/88

06 01/88

03/15/88

02/24/88

03/02/88

04/14/88

07/01/88

04/15/88

03 25 : 88

04/01/88

05/15/88

08/01/88

05/16/88

04 27 88

05/03/88

06 15 88

09/01/88

06/15/88

05/26/88

06/02/88

07/15/88

10/01/88

07/15,88

06 24 88

07/01/88

08/14/88

11/01/88

08/15/88

07/26, 88

08/02, 88

id 14 88

12/01/88

09/15/88

08/26/88

09/02/88

10/15/88

01/01/89

10/14/88

09 26 88

10/03/88

11/13/88

02/01/89

11/15/88

10/26/88

11/02/88

12/15/88

03/01/89

12/15/88

11/23/88

12/02/88

01/14/89

04/01/89

01/16/89

12/27/88

01/03/89

02/15/89

05/01/89

02/15/89

01/26/89

02/02/89

03/17/89

06/01/89

03/15/89

02 21 89

03/02/89

04/14/89

07/01/89

* The "Earliest Effective Date" is computed assuming that the public hearing
and adoption occur in the calendar month immediately following the "Issue
Date" , that the agency files the rule with The Administrative Rules Review
Commission by the 20th of the same calendar month and that ARRC approves
the rule at the next calendar month meeting.

EXECUTIVE ORDER

EXECUTIVE ORDER NUMBER 67

GOVERNOR'S TASK FORCE ON THE

SHORTAGE OK NURSES IN NORTH

CAROLINA

The State of North Carolina has made great
strides in supplying quality health care to its citi-
zens. Our physical capacity and technological
capability to provide the needed care is being met
but our supply of a trained labor force is
dangerously low.

The shortfall is particularly critical in nursing.
North Carolina simply does not have enough
trained nurses to meet the growing demands on
our health care system. The shortage promises
to become increasingly worse and could have a
very serious impact on the state's ability to
maintain a high level of health services to its
people.

In view of this problem and its growing severity,
it is important that the state establish a task force
to study this issue and prepare a report which
shall examine the causes of the shortage, clearly
set forth its implications, and recommend possi-
ble solutions that can be implemented by both
the public and private sectors.

THEREFORE, by the authority vested in me
as Governor by the Constitution and laws of
North Carolina, IT IS ORDERED:

Section

ESTABLISHMENT

The Governor's Task Force on the Shortage of
Nurses in North Carolina is hereby established.
The Task Force shall consist of not more than
20 members appointed by the Governor to serve
at the pleasure of the Governor. All vacancies
shall be filled by the Governor. The Governor
shall designate one of its members as chairman.
The Secretary of the Department of Human Re-
sources or his designee shall serve as an ex-officio
member.

Section 2. MEMBERSHIP

The membership of the task force shall include
but not be limited to representatives from the
following groups:

1 . North Carolina Nurses Association

2. North Carolina Hospital Association

3. North Carolina Community College Sys-
tem

4. The University of North Carolina System

5. North Carolina Medical Society

6. The North Carolina Health Care Facilities
Association

7. One member from the North Carolina
Senate

8. One member from the North Carolina
House

9. North Carolina Licensed Practical Nurses
Association

10. North Carolina Association for Home
Care

1 1 . North Carolina Department of Public In-
struction (Health Occupations Program)

Section 3. FUNCTIONS

1. The Task Force shall meet regularly at the
call of the Chairman. The Task Force is au-
thorized to conduct public hearings for the pur-
pose of receiving the comments and suggestions
of citizens throughout the state.

2. The duties of the Task Force shall be to
conduct a comprehensive study of the availability
of adequate skilled nursing care in North
Carolina and to prepare a report outlining its
findings and making recommendations on how
the public and private sectors can best work to
alleviate the nursing shortage now and in the fu-
ture. This report shall be submitted to the
Governor no later than September 1, 1988.

Section 4. ADMINISTRATION

1 Administrative support and staff for this task
force shall be provided by the Department of
Human Resources.

2. Members of the task force may be reim-
bursed for necessary travel and subsistence ex-
penses as authorized by NCGS 138-5. Funds for
reimbursement of such expenses shall be made
available from funds authorized by the Depart-
ment of Human Resources.

3. All other funds for the support of the task
force study shall also be made available from
funds authorized by the Department of Human
Resources.

Section 5.

IMPLEMENTATION AND

DERATION

1. This order shall be effective immediately.

2. This commission shall dissolve at the pleas-
ure of the Governor but not later than January
1, 1989.

Done in Raleigh, North Carolina, this 18th day
of February, 1988.

NORTH CAROLINA REGISTER

951

VOTING RIGHTS ACT FINAL DECISION LETTERS

[G.S. J 20-30. 9H, effective July 16, J9S6, requires that all letters and other documents issued by the
Attorney General of the United States in which a final decision is made concerning a "change af-
fecting voting" under Section 5 of the Voting Rights Act of J 965 be published in the North Carolina
Register. /

U.S. Department of Justice
Civil Rights Division

WBR:MAP:TGL:gmh

DJ 166-012-3 Voting Section

T0357-0358 P.O. Box 66128

T2714 Washington, D.C. 20035-6128

February' 12, 1988

Richard J. Rose, Esq.

Poyner & Spruill

P.O. Box 353

Rocky Mount, North Carolina 27802-0353

Dear Mr. Rose:

This refers to the two annexations (Ordinance Nos. 0-87-51 and 0-87-57) and the designation of
the annexed areas to wards for the City of Rocky Mount in Edgecombe and Nash Counties, North
Carolina, submitted to the Attorney General pursuant to Section 5 of the Voting Rights Act of 1965,
as amended, 42 U.S.C. 1973c. We received your submission on December 15, 1987.

Sincerely,

Wm. Bradford Reynolds
Assistant Attorney General
Civil Rights Division

By:

Gerald W. Jones
Chief, Voting Section

952 NOR TH CAROLINA REGIS TER

VOTING RIGHTS ACT FINAL DECISION LETTERS

WBR:SSC:DBM:dvs

DJ 166-012-3

T2225-2228
T2858

U.S. Department of Justice
Civil Rights Division

Voting Section
P.O. Box 66128

Washington, D.C. 20035-6128

February 24, 1988

Michael Crowell, Esq.
Tharrington, Smith & Hargrove
P.O. Box 1151
Raleigh, North Carolina 27602

Dear Mr. Crowell:

This refers to the change in the method of electing the board of commissioners from at large with
residency districts to six regular single-member districts and three consolidated single-member dis-
tricts, the districting plan, the increase in the number of commissioners from six to nine, the imple-
mentation schedule, and the candidate filing period for the 1988 election in Pitt County, North
Carolina, submitted to the Attorney General pursuant to Section 5 of the Voting Rights Act of 1965,
as amended, 42 U.S.C. 1973c. We received your submission on February 4, 1988. In accordance
with your request, expedited consideration has been given this submission pursuant to the Procedures
for the Administration of Section 5 (28 C.F.R. 51.34).

The Attorney General does not interpose any objections to the changes in question. However,
we feel a responsibility to point out that Section 5 of the Voting Rights Act expressly provides that
the failure of the Attorney General to object does not bar any subsequent judicial action to enjoin
the enforcement of such changes. In addition, as authorized by Section 5, the Attorney General
reserves the right to reexamine this submission if additional information that would otherwise require
an objection comes to his attention during the remainder of the sixty-day review period. See also
28 C.F.R. 51.41 and 51.43.

Sincerely,

Wm. Bradford Reynolds
Assistant Attorney General
Civil Rights Division

By:

Gerald W. Jones
Chief, Voting Section

NORTH CAROLINA REGISTER

953

PROPOSED RULES

TITLE 2 - DEPARTMENT OF
AGRICL'LTl'RE

otice is hereby ghen in accordance with G.S.
I SOB- 12 l hat the NC Department of Agricul-
ture. Structural Pest Control Committee intends
to adopt, amend and repeal regulations cited
as 2 SCAC 34 .0/02. .0204. .0301 - .0302,
.0309. .0317- .0318. .0325. .0328. .0401 - .0402,
.0405. .0501 - .0503. .0505 - .0506. .0601, .0603
- .0605. .0701 - .0703. .0803, .0805 - .0806,
.0902. .0904. .1103.

1 he proposed effective date of this action is
July 1. 1988.

1 he public hearing will be conducted at 1:00
p.m. on April 22. 1988 at Board Room. Room
359. Agriculture Building, 1 West Edenton
Street, Raleigh. North Carolina.

omment Procedures: Interested persons
may present statements either orally or in writ-
ing at the public hearing or in writing prior to
the hearing by mail addressed to David S.
McLeod. Chairman of the Structural Pest
Control Committee. P.O. Box 2~64^. Raleigh.
North Carolina 276/1.

CHAPTER 34 - STRUCTURAL PEST
CONTROL DIVISION

SECTION .0100 - INTRODUCTION AND
DEFINITIONS

.0102 DEFINITIONS

(a) For the purpose of interpretation of the
rules, regulations, definitions, and require-
ments of the North Carolina Structural Pest
Control Committee and the Structural Pest
Control Law, and unless otherwise required
by the context, the following definitions shall
prevail, to wit:

(26) "Infestation of a specific organism"
means evidence of recent present activ-
ity by that organism, visible in, on, or
under a structure, or in or on debris
under the structure.
f4^+ "R e c e nt" a» t*ed m fori* .0102(a)(26)
t-4 t+H* Section m e an -, t+wt- approximate
time int e rval normally requir e d fof *ft
insect t-ff similar organism h* question
to complete eme generation.
(50) "Unauthorized personnel" means any
individual or individuals not belonging
t**r h* * part otr t4+e fumigation crew

performing Ae fumigation operation.
given specific authorization by the li-
censee or certified applicator to areas to
which access is restricted by these regu-
lations.

(56) 'To use any pesticide in a manner in-
consistent with its labeling" means to
use any pesticide in a manner not per-
mitted by the labeling: provided that,
the term shall not include:

(A) applying a pesticide at any dosage,
concentration or freq uencv less than
that specified on the labeling:

(P) applying a pesticide against any target
pest not specified on the labeling if the
application is to the site specified on the
labeling, unless the F PA has required
that the labeling specifically states that
the pesticide may be used only for the
pests specified on the labeling:

(57) "Wood-inhabiting fungi" means any
fungi that grow on or in wood or wood
products including decay (rot), stain
and mold fungi.

(581'

Telephone answering service

location" means any location used for
the sole purpose of receiving telephone
messages.
(59) "Partial treatment" shall mean the
treatment of a specifically defined por-

tion of a structure for the control or

pieN enlu'ii <J_ ''"i 1 or nii.nL 1 uood-des-
troving organisms.

(4*} 4-ke terms "animal," "applicant,'

tractantii," "branch office," "certifi e d upplicu
tor," "commission e r." "committee." "device * ,"
"employee," "fumigants," "fungi," "insects."
"insecticide '

"pest.

"label." "Licensee.'
"pesticide." "rep e llents

person,
"registered

pesticide," "rodenticidos," em4 "structural pes*
control" a* used m th e s e Piulos a&4 R.cgu
lations a*e defined under G.S. 106 65.2 1.

Statutory Authority G.S. 106-65.29.

SECTION .0200 - STRUCTURAL PEST
CONTROL COMMITTEE

.0204 PUBLICATION OF LICENSEE AND
CERTIFIED APPLICATOR ROSTERS
(REPEALED)

Statutory Authority G.S. 106-65.29.

SECTION .0300 - LICENSING AND
CERTIFICATION

954

SORTH CAROLINA REGISTER

PROPOSED RULES

.0301 FEES

(a) License, certified applicators identifica-
tion card, and operator's identification card
fees shall not be prorated. All license, certified
applicator's identification card, and operator's
identification card fees shall be paid, in full, in
advance of the issuance or renewal of the li-
cense and cards, and all examination fees shall
be paid, in full, in advance of the examination.
Lees requir e d under the provisions of the
Structural J 2 *** Control feaw a&4 those rules
a«4 regulations shall be submitt e d directly to
the North Carolina Department of Agriculture,
Agriculture Budding, Ral e igh, North Carolina.
te bo ease shall afty fee be collected m the field
by »» inspector of awy other repr e s e ntativ e of
the North Carolina Department of Agriculture.

Statutory Authority G.S. / 06-65. 29.

.0302 APPLICATION FOR LICENSES
AND CARDS: EXAMINATION

(a) Application for License L'nder the Pro-
visions of G.S. 106-65. 26(c). A4i applicants
who qualify f-of a license of a certified
applicator s id e ntification ea?4 under the pro
visions of G.S. 106 65.26 shall demonstrat e
their competence i» the phase( s ) ef structural
pest control f-o? which license of certified
applicator's identification eafti afe requested

i-* ' [ t'il-in;i ti 'i-itt.in Q *- ■ i .it i n ■ ■ ) i ,iti i' . 1 ■; V~t ■ ^ t \-i i i ■ntt.irv
\J f IU1U1 1 C TTTTTTCTT CTTTTTTTTTTTTTTTTTTTT X.J I TTTTTTT "lit EOI I

ano ofal examinations wh e n recommended by

the committee:

(2) To be considered, applications to take
aft examination f-of a«y phas e of strut;
turul pest control work, shall be fe-
coived by the committee secretary at

^^^^^^+ ^^^^^i ^^^^^^^/ t^^^^^Jl 1^± t I j ,-\ . f i 1 - * t \ I ti^*i

e xamination. Incomplete examination

^^^£^^^^^ C^^^^^^^^^^^L *"^ T*l j \ T~ t^i t \\ m a i A ^ i i [ \ \ \~\ m\ , 1 j t ■ I

I K." I I 1 1 J 1 DOOI f *_^J l.'IIVI c^T 1 1 IV <_l \-T. 1 U 1 1 1 1 \J UU l\J

shall be return e d to the applicant f-©f
completion. Applications received by
the committ e e secretary, compl e t e m- ah
details after the deadline dat e , shall be
hefe fof the Rest succeeding examina
tioft date. Lpon approval of the appli-
cation for examination, the committee
sccretars ^ull nntih the applnant of
said approval and provide the necessary'
form(s) for the applicant to prc-retaster
for the examination as required to Rule
.03112(c).
(8) Such e xaminations shall be m each of
the subj e cts specified m the license
phase r e lating to the respective applica
tions. Licenses, according to such ap-
plications, shall be granted to afty

applicant who shaW mak e a» average of

nn< 1 q c c * ti nr-, /{\ aamaa * m BUMiia '~>* I p a
i hji 1999 t inii i r \ ' f^c i L'v. in i'ii luu'i i rrr i f n?

subjects of s«eh license phases. Any
applicant making a score of 70 percent
or more on any license examination(s)
shall be issued a Ucense in that phase(s)
of structural pest control after making
proper application therefor.
(13) If an applicant, within 60 days after
notification that he has failed the ex-
amination, requests ift writing to r e view
the examination, the committeo shall
review the e xamination at its next
mooting, to review the examination(s)
the division shall review the
examination(s) during the earliest pos-
sible regular review session.
(b) Application for certified applicator's

identification card under the provisions of G.S.

106-65.26 (a) and (b): a»4 &?

(1) Applications filed pursuant to G.S.
106-65.26 (a) and (b) a»4 (e+ shall be
on a regular form prescribed by the di-
vision.

(3) Applications shall be either typed of
printed i» iftk a«4 sworn to before a
notary public of some oth e r official au-
thorized by few to administer oaths.
Incomplet e applications wttl be re-
turnod to the applicant.

(4) All applications for certified
applicator's identification cards under
the provisions of G.S. 106-65.26 (a) and
(b) a»4 (e) shall be retained by the of-
fice of the committee secretary. All
documents filed in support of an appli-
cation shall be kept by the office of the
committee secretary; provided, how-
ever, that the committee may at its dis-
cretion permit such documents to be
withdrawn upon substitution of a true
copy. All examinations shall remain
the property of the committee.

(5) Examinations fef certified applicator's
identification cards shall be » each of
the phases of structural pest control fe*
which the applicant fe seeking c e rtif
ication. Certified applicator's idontifi
cation cards, according to such
applications, shall be granted to a»y
applicant who shall make a» average of

T~l >~1 t 1 ■ I.". - - t Li - ■ ft I { I r~. 1 T-, • . T-l t Q T-l ^■Jj'V^ Jit IItJ

11UI t U J J I 1 1UI 1 T ' f TTCTCmT C7TT LUL 1 1 KJ 1 L1IL

subjects of such cortifiod applicator's
phases. Any applicant making a score
of 70 percent or more on any certified
applicator's cxamination(s) shall be is-
sued a certified applicator's identifica-
tion card in that phase of structural pest

NORTH CAROLINA REGISTER

955

PROPOSED RULES

control after making proper application
therefor.

(S) Upon receipt of the application for ex-
amination, the committee secretary
.shall pi o vide the necessary' forms for the
applica nt to pre-iegister for the exam-
ination as required in Rule .030 2(c).

(& (9) Rule "302(a)(2), [3j. (5), (6), (7),
(12) and (13) of this Section shall also
apply to all applicants for certified
applicator's identification cards.

( 1 ) All applicants for the license and or
certified applicator s examination(s)
-.hall pre-regjster with the committee
secretary tor said examination^ ) no less
than ten davs prior to the date of the
examination.

(2) Applicants who fail to pre-regjster shall
not be permitted to take the examina-
tion.

(3) Pre-reastration shall include a properly
completed application for examination.

(d) Frequency of examination bv license ap-
plicant limited.

( 1 ) An applicant who initially fails to pass
the license examination may retake the
examination at any subsequent regu-
larly scheduled examination.

(2) An applicant who tails to pass the sec-
ond license examination shall wait a

minimum o

f three months betwt

each subsequent examination.
Statutory Authority Cx.S. 106-65.29.

.0309 RE-CERTIFICATION

All certified applicator's identification cards
shall expire on June 30 of each year and shall
be renewed on an annual basis. Certified ap-
plicators shall be certified for a five year period.
At the end of said five year period, a certified
applicator, at his discretion, may be re-certified
for another five year period by choosing one
of the following options:

(3) license ;s and four- digit certified applica-
tors must earn at least one of the required
continuing certification units established
in Rule .0300(a) in each of four years of
the live \ear recertification period.

(4) non-licensed three-digit certified applica-
tors must earn at least one of the required
continuing certification units established
in Rule .0300(a) in at least three years of
the live ear recertification period.

(5) continuing certification units shall not be
carried forward beyond the five year re-
certification period.

Statutory Authority G.S. 106-65.29.

.0317 LICENSE AND/OR CARD ISSUED
TO ADDRESS OF BRANCH OFFICE

The license and 'or certified applicator's iden-
tification card shall be issued to the resident
licensee and or certified applicator at the ad-
dress of his branch office. 44%e license and or
certified applicator's identification eaf4 »f the-
nonresident licensee and or certified applicator
shall fee issued te &&*4 licensee and or c e rtified
applicator at- tfee business address e+~ feis Fesi-
dent agent at tfee branch office where tfee li-

, -. , T-i . . t 1 C- K.nn ti ii,-,i,1

CCTT3C m tTTTTTr LI . 'L. LI .

Statutory Authority G.S. 106-65.29.

.0318 CHANGE IN STATUS OF LICENSEE
AND/OR CERTIFIED APPLICATOR

(©) fe- tfee event &{ death e£ a licensee, tfee
executor et administrator ef tfee deceased j»e¥-

^^^^^^^^ ^^^^^^^^^ ^j^^^^T i^^^^^i U ^1^^^^^ It , i t t \ ^^^^i ^I^^^^i

. H. f I I '.I L. ..' I VI l\- rTTTTTCT I I II f V .'"J crTTT T> TTTTTTT 1 1 l\~ UUll

licem . ee d e ceased, e* until the next meeting &f
tfee committee following tfee expiration (4 sai4
00 day period, te have a qualified licensee t»
operate *&*4 business. During tfei* 00 day pe-
fh+4 the ase ef am- restricted use pesticide fey
a»v person representing ««4 business agent &f
agency shall be fey &f under tfee direct super
vision ef a person possessing a valid certified
applicator s identification card.

Statutory Authority G.S. 106-65.29.

.0325 DUTY OF LICENSE HOLDER TO
CONTROL ACTIVITIES

(a) If tfee branch any office or individual
employee of a license holder is not within 75
miles of h+s the licensee's residence, by the
nearest public road, the licensee shall submit
to the committee, in writing, information to
show that he is, in fact, controlling, directing
and supervising the structural pest control ac-
tivities of said branch office or employee. In
the event information submitted to the com-
mittee by a license holder is insufficient tor the
committee to determine that said holder is, in
fact, controlling, directing and supervising the
structural pest control activities of his branch
office or employees, the committee shall re-
quire said holder to appear before it and set
forth, in detail, information to show that he is,
in fact, in charge of the structural pest control
activities of tfee his branch office or employees.

956

SORTH CAROLINA REGISTER

PROPOSED RULES

(b) It shall be a violation of the rules and
regulations of the committee for any license
holder to fail to adequately control, direct and
supervise the structural pest control activities
of his branch office or employees.

Statutory Authority G.S. 1 06-65. 29.

.0328 RECORDS: PESTICIDES AND

APPLICATION EQUIPMENT USED

All required structural pest control records,
requir e d under these Rules an4 Regulations,
©f work performed a©d pesticides and applica-
tion equipment used by the lioenood operator
licensee or four-digit certified applicator (who

i c «■■*!->♦ f\ r\ ■ u-i-i r. I n i Mil i-\\ • I lif ,m. . i . ^ .inar'iliiri Cn*jll

be maintained at the branch office location to
which the license or certified applicator's card
is issued shown ©«• tfee operator's license eei 1 -
tilicute ©f the administrativ e business address
©f tbe certified applicator, unless prior ap-
proval for another location has been granted
by the division, te the ease ©f a non rooident
licensed operator ©? certified applicator sa*4
records, pesticides a»4 equipment shall be
maintain e d at the branch office shown ©» the
license certificat e unless authorization is ©b-
tuined from the division t© keep the records at
the place ©f business ©f the operator's ©f
applicator's resident agent. All such records,
pesticides and equipment shall be made avail-
able for inspection during regular business
hours upon request by the enforcement
agency, division.

Statutory Authority G.S. J 06-65. 29.

SECTION .0400 - PUBLIC SAFETY

.0401 PL BI.IC SAFETY: STORAGE AND
HANDLING OF CONTAINERS

(a) All pesticides shall be kept securely, in
leakproof containers and labeled as specified in
Rule .0402 of this Section. In no cases shall
containers of pesticide(s) be left where pets,
domestic animals, children or other unauthor-
ized persons might remove or consume the
contents. Food containers shall not be used
as pesticide containers.

(b) When pesticidal concentrates ©f acut e ly
toxic poison baits, pesticides are carried in or
on a vehicle, a suitable storage space shall be
provided thereon. a«4 under h© circumstances
shall storage space be left unlocked ©f unat
tended with pesticidal concentrat e s ©f acutely
toxic poison baits expos e d. Under no cir-
cumstances shall toxic baits of Toxicity Cate-
gory I or pesticidal concentrates be left
exposed, unlocked or unattended.

Statutory Authority G.S. 106-65.29.

.0402 LABELING PESTICIDE CONTAINERS

AH pesticide containers, except application
equipment ©fles« than ^Q gallon capacity, shall
be labeled t© g*ve the following information:
(-H manufacturer's complete brand name ©f

product;
{3} dilute ©f concentrat e ;
f©4 if diluted, kind ©f dilutent f©*h water, ©f

dust, etc.);
f4-> signal word.

(a) All pesticide concentrates and poison
baits stored in containers other than original
shall be prominently labeled to give the fol-
lowing information:

( 1) manufacturer's complete brand name
of product;

(2) percentage of each active ingredient;

(3) HPA registration number;

(4) signal word (as it appears on the pesti-
cide label);

(5) use classification, if classified, (as h ap-
pears on the label).

(b) All pesticide containers, except those de-
scribed in Rule .0402(a), including application
equipment often gallon capacity or more, shall
he prominently labeled to give the following
information:

( 1) manufacturer's complete brand name
of product;

(2) the word "dilute" if diluted;

(3) if diluted, kind of diluent (water, oil,
dust, etc.); and

(4) signal word (as it appears on the pesti-
cide label").

Statutory Authority G.S. 106-65.29.

.0405 FOLLOWING PESTICIDE LABEL

(a) Nothing in these Rules and Regulations
shall be construed to permit the use, handling,
storage, or disposal of pesticide(s) or pesticide
container(s) in a manner which is prohibited
by EPA.

(b) It shall be a violation of these Rules to
use am pesticide in a manner inconsistent with
its labeling.

Statutory Authority G.S. 106-65.29.

SECTION .0500 - WOOD-DESTROYING
INSECTS

.0501 WOOD-DESTROYING INSECTS:
EXCLUDING SUBTERRANEAN
TERMITES

NORTH CAROLINA REGISTER

957

PROPOSED RULES

(a) Determining Active Infestations of
Wood- Destroying Beetles. The licensee, cer-
tified applicator, and. or their representative) 5 )
making the inspection for wood-destroying
beetles shall be responsible for determining the
presence or absence of an active infestation(s).
All proposals for the treatment of wood-des-
troying insects under Rule .0501(a) and (b) of
these Rules and Regulations shall be in writing
and contain the name(s) of the wood-destroy-
ing insccts(s) to be controlled, that part of the
structure to be covered under the agreement
(entire structure, understructure only, entire
interior of the garage, etc.), and the basis on
which the licensee, certified applicator, or their
rcpresentative(s) determined the infestation to
be active or inactive as set forth herein below:
(1) Powder Post Beetle(s) (Anobiidae.
Bostrichidae and Lyctidae)
(C) 44*e effectiveness e£ a pesticid e treat
m e rit fof powder post beetle infestation
I Anobiidae affo I yctidae) cannot be
accurately determined until at least ©«e
complete adult beetle e mergence period
h*» occurred after the initial treatment.
If a license e performs a guaranteed or
warranted treatment for powder post
beetles, the period of the guarantee or
warranty shall be a minimum of 18
months.

f-D-f Structures initially treated with a
pesticide(s ) fof powder post beetles
(Anobiidae affo I yctidue) during the
period from September 1- through April
tW4 e# any given y-eaf should aet be m-
spected before September 4- &f the fol-
lov i ing y-eaf ($ te442 months aft e r initial
treatment).

t+4 Structures initially treated with a
pesticide! s) fof powder post beetle
(Anobiidae a«4 I yctidue > during the
period from Mas 4- through August ^4-
el a«y- given jrea* should net be m-
spected before September 4- e4 the fo4-
lowing y-eaf (-4-3 k» 4A months aft e r
initial treatment).

(4*4- Thte hconsoe ©f certified applicator
who performs treatment a* specified m
Paragraph <4for R-ttle .0501(a)! 1), shall
he responsible until September M* e£
the lollovring y-eaf fof the control el safo
infestation.

t-44-f ( D) If an active infestation of pow-
der-post beetles (Anobiidae and Lycti-
dae) is found by_ the division in am
structure treated for said beetle -. alt e r
t*«e during or after the first complete
adult beetle emergence period ha* ©e-

curr e d mai within the time specified in
the contract, » aay structure initially
treated fof *afo beetles, the licensee or
certified applicator responsible for said
treatment shall retreat the structure
within 30 days of written notice from
the enforcement agent, division, Re-
treatment shall be made, performed.
upon request of the e nforcement
agency, division, in the presence of a
structural pest control inspector.
(e) 44*e following pesticides may he used fof
the control 94^ wood destroying insects other
than subterranean termites: a#ty pesticide ap-
proved by EPA which ts- used » accordance
with label instructions.

(4+ (c| Re-application of Pesticide(s) to
Structures for a Specific Wood- Destroying In-
sect which was Previously Treated for that
Wood- Destroying Insect. Any re-application
of pesticides under Rule .0301 shall be in ac-
cordance with the label of the pesticide used.
Re application t*4 pesticide(s) t» structures fof
the prevention and or control ©4 a wood des
t roving insect after a» initial treatment shall
»et he allowed except under the following
conditions:

(-H Visible evidence e£ a» active infestation

&f
(4} T4*e structure is aet currently under
contract fof the prevention and or con
tf»4 ef the wood destroying insect with
the licensee re applying the p e sticid e ) s).

Statutory Authority G.S. J 06-65. 29.

.0502 PESTICIDES FOR SUBTERRANEAN
TERMITE CONTROL

A«y- p e sticid e taay- he used fof the prevention
and ' or control el subterranean termites pro
vided that it b e ars as EPA approv e d label fof
such «*e &f*& the pesticide ** applied according
te the directions &4 its label. Anv pesticide
applied for the control or prevention of sub-
terranean termites shall be applied onlv at the
dosage, concentration and frequency specified
on the labeling.

Statutory Authority G.S. 106-65.29.

.0503 SUBTERRANEAN TERMITE

CONTROL: BUILDINGS AFTER
CONSTRUCTED

(a) Basement or Crawl-Space Construction:

(5) Eliminate all wooden parts between the

building and soil, both outside and in-

958

XORTH CAROLIXA REGISTER

PROPOSED RULES

side, except those which are determined

to be pressure treated:
(F) Where houses or decks are built on
pressure treated wood pilings or pillars
said pilings and pillars, including wood
step supports, shall not be subject to
Rule 0303(a)(5)(A), (B) or (C).
Drill and treat above highest stfe Ifee
en* cither sfoe fe wail » orde'r te trout
aH void ii » multipl e masonry founda
tR+» ch+4 hearing wall ;. : all voids m
multiple masonrv foundation and bear-

(6)

ing walls (including porch walls) and all
voids created by their placement.
(A) The distance between drill holes shall
not exceed 16 lineal inches atfo tfehl
hol e s shall be deep e nough to reach the
void(s). A-fl multiple masonry founda

rTTTTT til I U 1 '111 I H H ' 1 1 tTTTTTTt tTTTTTTT 11 1 V Ut 1 1 It-

level eh fo. contact with. e* extending
below the sell shall be drilled affe
treated, and holes shall be no more
than 16 inches above the footing or
immediately above the lowest soil level
whichever is closest to the footing.

/ R i 1£ mall i*i K.^il., ,,- . laifljma] i^l.^ .i^ii

^ U j TT ' ' 111 1 rTT 111. 1 1H i II .111 111. I LI 1 II I I I 1 1 ' K. 11 -J , U 1 111

block ' . . , except those which afe few
inches thick, at- each void m- e«e few
above highest se+1 bhe e» either sfee ef
wall, unless blocks afe accessible from
top, ef unless blocks have ; . olid n»-
sonry eae consisting ef solid poured
concrete. The drilling of voids in four
inch thick hollow structural block shall
not be required under this Rule.
(C) Dffe. befos- shah be treated with a
tennitieide under sufficient pressure te
cover all cracks affo voids therein below
the level ef application. Test drill the
main foundation wall behind any porch
or slab area to determine it the porch
or slab is supported by a wall whose
placement creates a void between itself
and the main foundation wall . If test
reveals that a void exists, drill and treat
all voids therein as specified in this

Rule.

(7)

Drill and treat all voids in all multiple
masonry' pillars, pilasters, chimneys,
and step buttresses, and any void cre-
ated by their placement: except hollow
structural block pillars a«4 pilasters
which have solid masonry caps consist
fog ef structural blocks with the wide
faces turned down ef solid poured con
ciete.
(A) The distance between drill holes shall
not exceed 16 lineal inches affo holes

i-1mi1| l-t.-t 1 . » . ua anniiiili * ■ a ri~\ -i ■ •■ l-i Ht.i . • ■ | r i 4 . t «■
,'MTII1 T '\. Ii \.M I ' LIIVUh.11 TTT TTTinT Z n V CUTIIvl

mortar joint. and shall be no more
than 16 inches above the footing, or
immediately above the lowest soil level,
whichever is closest to the footing.

fft+ Dftll holes shah be treated w+tb a
termiticide under suffici e nt pressure te
cov e r all cracks affo voids therein below
the level ef application.

(€) (B) Drilling shall not be required if
solid concrete masonry footings of pil-
lars or pilasters, or chimneys, or steps
buttresses extend eight inches or more
above top of soil surface.

(C) The drilling of voids in four inch
thick hollow structural block shall not
be required under this Rule.
(&} U foundation walls ef dirt filled con
creto porches, ef concrete slabs over
dirt fill e d areas, have voids, tfoll affo
tr e at with a tennitieide aft voids therein,
as specified fof foundation walls, with
eat solid poured concrete caps, fof a
distance 9# throo feet from the main
foundation wall. Where wooden otruc
tural members afe fo contact with the
porch floor over joints ef cracks, more
than three feet from the building foun
dation wall, the porch ef slab afea
foundation wall(s) shall be drilled affo
treated, a* specified fof building foun
dation walls, fof a distanc e ef three feet
fe both directions from the point ef
wood contact with the porch ef slab
area, fo crawl spac e construction, test
drib 1 the building foundation wall abut
tfog the dirt tilled concrete porch ef
slab afea te determine if wall has voids.
If test reveals that wall has voids, drib 1
a«4 treat all voids ther e in as specified
fof foundation walls.
(9) Where concrete slabs over dirt -filled
areas are at the level of, above the level
of, or in contact with, wood foundation
members treat dirt-filled areas as fol-
lows:

(A) Drill vertically one- fourth half of one
inch or larger holes in the slab, no more
than eight inches from the building
foundation, at no more than 16 inch
intervals and treat soil below slab; with
a termiticide; or

(B) Alternativ e ly Drill horizontally one-
fourth half of one inch or larger holes
in the foundation wall of the concrete
slab, no more than eight inches from
the building foundation, affo every 16
vertical inches starting immediately be-

NORTH CAROLINA REGISTER

959

PROPOSED RULES

low the bottom of the slab and rod treat
all soil adjacent to building foundation
with a tenniticid e . from the bottom of
the slab to the lowest outside grade.

(10) Treat hunch and or f**4 soil adjacent
to. but not more than eight inches
from, all pillars, pilasters, chimneys,
pressure treated wood supports and step
buttresses; inside of foundation walls;
outside of foundation walls; the outside
of foundation walls of concrete slabs
over dirt-fiHed areas and the entire out-
side perimeter of a slab foundation wall.
a«4 tr e at s*4l with a termiticido. U the
footing is exposed, apply tl+e tenniticide
to the s**ii adjacent to the tooting, J^se
t4 trench, depth el trench a«4 fetaaee
between Ft+4 holes w-tU depend upon
type e4 foundation planting '. , type ef
s*m4t tt«4 depth el footing. Where out-
side concrete slabs adjacent to the
foundation prevent trenching of soil,
drill one- fourth half of one inch or lar-
ger holes, not more than 16 inches apart
and within a foot of the foundation
wall, through slabs or through adjoin-
ing foundation wall, and treat soil be-
low slabs; with a tenniticide. except
that three-eighth inch holes may be
used if the bottom of the slab is no
more than three feet above the top of
the footing. The soil immediately
around pipes and other utility conduits
making contact with se+i an4 wood of
the structure, shall be trenched and or
rodded an4 treated, with a tenniticide.

(-H-+ Packing around pipes, it tn+t removed,

PTTTTTT t*t? 1 1 t^.1 I V\S W I {. 1 1 CT It! 1 I I 1 t 1 1_ I O tr 111 I t?I

breaking contact between the packing
em4 the ground.
(12) Where stucco on wood or similar type
materials extend to or below grade,
trench soil to a depth below and under
the edge of the stucco or similar type
materials and treat soil. w-i*k a t e rmiti
cide. After the soil has been treated, a
masonry barrier wall may be erected to
hold back the soil from making direct
contact with the stucco or similar type
materials. Where outside slabs on
grade adjacent to foundation prevent
trenching of soil, drill one- fourth half
of one inch or larger holes through slabs
B**t more than 44 inches apart <m4
within eight inches a feet- of the foun-
dation wall, through slabs or through
adjoining foundation wall, not more
than 10 inches apart and treat soil be-

(b)
(2)

low slabs; v . ith a termiticido. except
that three-eighth inch holes may be
used if the bottom of the slab is no
more than three feet above the top of
the footing.
Slab-on-Ground Construction:
Drill vertically one- fourth half inch or
larger holes, at all visible or known ex-
pansion and construction joints, cracks,
and crevices in slab and around all util-
ity conduits in the slab at no more than
16 inch intervals and treat soil below
slab; w-*tb a termiticido. except that
three-eighth inch holes may be used if
the bottom of the slab is no more than
three feet above the top of the footing.
Where wooden structural members are
in contact with concrete or masonry
floors which have joints or cracks be-
neath the wooden structural members,
including wall plates in utility or storage
rooms adjoining the main building, the
concrete or masonry shall be drilled and
treated with a termiticido in order to
achieve treatment of the soil beneath
them. As an exception, expansion and
construction joints at the perimeter of
the exterior wall may be treated by
drilling through the foundation wall at
no more than 16-inch intervals directly
below the bottom of the slab. a&4 ap-
plying the tenniticide.
{£f Drill, at- &f near the footing, voids el aH
multiple masonry - chimneys, pillars, pi-
lasters. a«4 step buttresses adjacent to
foundation walls, e* which penetrate
concrete slabs. &&4 treat voids with a
tenniticide.

frV} T4*e distance between dftH hol e s shall
ftto- exceed 44 inches aftd holes shall be
deep enough to r e ach the center mortar
joint.

f44> Oh44 holes shall be treated witk a
termiticido under sufficient pressur e to
cover all cracks a«4 voids therein b e low ,
the level el application.

{Q} Dnlhng shall net be required tf solid
concrete masonry footing el multiple
masonry structur e s oxtond to tbe top
t*F above the top el slab.

(4) ih Rule .0503(a) U+ ^h @h f+h ^

f4+T to> (8)r fft-h mh t4+h <-to^ m4

f44f of this Section shall be followed,
tf any ef all ©£ toe above, apply to es-
i sting slab on ground construction.
(c) Reapplication of Pesticide(s) to a Struc-
ture Previously Treated for Subterranean Ter-
mite Control. The reapplication el pesticides

960

\ORTH CAROLINA REGISTER

PROPOSED RULES

to a structure e* structures for- the prevention
and /or control e+ subterranean termites after
a» initial treatm e nt ef said- structure ©f struo
tures for- termites shall r+»t be allowed except
und e r the following conditions:

(1) Visible evidence ef- aft- activ e infestation

ef subterranean termites; e* A reappli-
cation of termiticidc shall be required if
soil test by the division reveals that the
soil is deficient in the tenniticide which
was applied to the soil.

(2) Extremely sandy set! permitting percola

1 1 .in ■ % I 1 1 ^ , •. t*\i v li i iiii w i 1 i 1 1 i j t \ 1 th-i t r*j 'i<'' I

area; ©t Any reapplication of pesticides
under Rule .0503 shall be in accordance
with the label of the pesticide used.

Altered conditions h* the treated ar e a;
©f

4-be structure is ft©t currently undor
contract fof the prevention and or con
to4 ©f subt e rran e an tennites with the
licensee ©f certified applicator reapply
fog the pesticido(s); ©f
&©*! test by the department reveals foat
the sfol is deficient h* the tenniticide
which w«+s appli e d to the s©fo

consisting ©f solid i
44*e tenniticide shall
voids, und e r sufficient

©f masonry.
be appliod to-

j TTT 1 1UUU

(5)

Statutory Authority G.S. 106-65.29.

.0505 SUBTERRANEAN TERMITE

PREVENTION FOR BUILDINGS
UNDER CONST.

(a) Basement or Crawl-Space Construction

(1) Treat the soil along inside of the main
foundation wall; the entire perimeter of
all multiple masonry chimney bases,
pillars, pilasters, and piers; and both
sides of partition or inner walls, w+th-
a tenniticid e . U the footing is exposed,

a t^.r-ill : tin * . i«-»t-i i(i,",l,i t si ♦ ti . i r/nl -t,it-A .--jv»->*
1'1'lT 1 1 It? Id 1 I I It TlHW TV? II 1^ TTVTTT CfO JIH~™M T

to the footing.

(2) After a building or structure has been
completed and the excavation filled and
leveled, so that the final grade has been
reached along the outside of the main
foundation wall, trench a«4 treat the
soil adjacent to, along and not more
than eight inches from, the outside of
the main foundation wall. with a
tenniticide. -H- the footing is exposed,
apply the tenniticide to the s©tl- adjacent
to the footing.

(3) Apply a tenniticide to Treat all voids of

WW* masonry foundation walls, piers,
pillars, pilasters, chimneys, and other
supporting or attached unit masonry
structures, except wher e void ', afe to
be capp e d with a solid masonry eap

all cracks aftd voids therein below the
l e v e l ©f- application.

(4) Apply a tormiticido Treat to soil within

three feet of the main foundation, under
slabs, such as patios, walkways, drive-
ways, terraces, gutters, etc., attached to
the building. -Phe t e nniticide Treat-
ment shall be applied performed before
slab is poured, but after fill material has
been spread.

( 5) Apply a» over all treatment ©f- a tormiti

eide Treat soil under the entire surface
of floor slabs, such as basements,
porches, entrance platforms, garages,
carports, breezeways, sun rooms, etc.
The tenniticide treatment shall be ap-
plied perfonned before slab is poured
but after fill material has been spread.

(6) to. addition to treatment outlined above,

apply a tormiticido to and- Treat soil
around all critical areas such as expan-
sion and construction joints electrical

.'iMi.lintr ■ i i r I'An/litifininii i r, a«-» t r- hnfitirin

mns«TO) tii i L.'i 1 1 itj iiiviniiiL, i Liiij) 1 1 on nnc

aftd plumbing outlets, pipes, utility
linos, eto-r at their point of penetration
of the slab or floor.

/ .'\ Fr. .-it m ^ii< ■- V. •. I I nnt Wfi m 'i/lq i i ■)-. . i i"i {Kit

* *- / I reCRtBOttt OTfTTTT 111. J I t *V I I1UUP M ROR ITTU

s©il ©f fill is excessiv e ly wet ©f immediately af-
tef heavy rains, to avoid surfaco flow ©f the
tenniticid e from the application siter Unless
the treated ar e as a*e to be immediately oov
ered, precautions shall be taken to prov e nt
disturbanc e ©f- the treatment by- human ©f a»-
imal contact with the troatod surfac e .

Statutory Authority G.S. J 06-65. 29.

.0506 WOOD-INHABITING FUNGUS
CONTROL

(a) This Rule shall apply only to licensees
or their authorized representatives representing
themselves as engaging in the prevention or
control of wood-inhabiting fungi.

(b) Identifying Wood- Inhabiting Fungi:

(1) Before placing a structure under con-
tract for the control or prevention of a
wood-inhabiting fungus, the licensee,
certified applicator and/or their
representative(s), shall identify the types
of wood-inhabiting fungi in question
and inform the property owner, or their
authorized representative, in writing of
the identity and habits of the fungi,
[mold/ mildew/stain fungi, water-con-

NORTH CAROLINA REGISTER

961

PROPOSED RULES

ducting fungus, wood-decay fungi
(brown or white rot)].

(2) No licensee, certified applicator, or their
representative(s) shall represent to a
property owner, or his authorized rep-
resentative, that a wood-decay fungus
infestation is active when the moisture
content of the wood members in ques-
tion is below 20 percent on a dry weight
basis, as determined with a moisture
meter,
(e) Use of Pesticides for the Control or Pre-
vention of Wood-Decay Fungus Infestations.

( 1 ) Surface application of pesticides may
be used in the control or prevention of
fungus infestations only when rapid kill
of surface fungi is specifically requested
by the property owner in writing in the
contract. In such instances, moisture
control techniques must be used in
combination with pesticide treatments.

Statutory Authority G.S. 106-65.29.

SECTION .0600 - WOOD-DESTROYING
ORGANISMS AGREEMENTS

.0601 AGREEMENTS

(a) Before any work is started, the licensee
or his authorized agent shall be responsible for
executing a written agreement with, and in-
forming, in detail, the property owner or his
authorized agent as to the type and quality of
work that is to be performed under the agree-
ment. e» any f»b whether rt- meets minimum
requirements ef ttetr

( b ) A written agreement e» a j*4* which dees
w-4 meet minimum requirements shall mean
««¥ written agreement, entered t»k» by the li-
censee ef hi* authorised agent . fef the control
e* pr e vention el wood destroying organisms
t+f pests, m which treatment iof the control ef
prevention ef such organisms ef pests, is ftet-
k+ be peiiormed m- accordance with minimum
requirements a* h e r e in set- forth. If a partial
treatment is to be performed under Rule .051)3,
the written agreement shall state: "The treat-

men^ proposed bv this contract ^s a partial
treatment. ( )nl\ those areas indicated on the
attached foundation diagram will be treated.
Treatment ol these areas will be performed
according to North Carolina minimum re-
quirements for subterranean termite control
except as specified by the attached waiver
torm."

Statutory Authority G.S. J 06-65. 29.

.0603 WAIVERS

(a) If fof aft¥ reason, there are any deviations
or omissions from the minimum requirements
for the control and/or prevention of wood-
destroying organisms or pests, as herembefore
set forth, each requirement e* item omitted
shall be fully explained, in writing, prior to any
work being done, on the waiver form(s) pre-
scribed by the committee, bear the written ap-
proval of the property owner or his authorized
agent, and shall be made a permanent part of
the written agreement, e* contract. A copy
ef the above waiver form shall be given to the
property owner e* his authorized agent within
3© days from the date ef the contract covering
wood destroying organisms. A duplicate copy

■ ^ i * Tt I i 1 i I I m :.ir I . VjaOJ I 1 1 I I 1 1 I I.I U - **~*< ■ » t fa i > i « 1 Ofl Ql

trr 1 1 1^ wui v^r ttttttt ttttttt k.*\j inpi rrr 1 1 tv i ii\? j trr

the licensoo.

Statutory Authority G.S. 106-65.29.

.0604 WOOD-DESTROYING ORGANISMS
RECORDS

(a) A duplicate of each written agreement
and wai%'er (if applicable), including wood-
destroying insect reports or wood-destroying
organism reports, for the control of any
wood-destroying organism shall be kept by the
licensee at- the sam e location a* the license a»4
made available, at the request t>£ the enforce
ment agency «*f committee for a minimum of
two years beyond the expiration date of the
written agreement. The duplicate &f licensee's
copy, of each written agreement shall contain,
in addition to the information specified under
Rule .0605(a) ffof treatment ef a» ousting
building) or Rule .0605(d) (fef treatment e£ a
building under construction) trf this Section
the following:

( 1) EPA approved brand common name ($}
of pesticide used; and

(2) if a restricted use pesticide is used, That

information required by EPA.

fb^ li ' Uch nonresident licens ee aft4 each non
resid e nt certified applicator shall maintain with
his resident agent » the Stat e ef Noil It Caro
h»a a set- »£ structural pest- control records as
complete as those required by resid e nt been
sees a«4 resident certifi e d applicators. Those
records shall be maintained at- the sam e le-
cation as the license unless approv e d otherwise
by the committee.

(e) (b] Four-digit certified applicators wbe-
aw net- licensees ef acting as authorized repr e
sentatives ef- a licens ee a«4 v > ho »se a restrict
ed us e pesticide h+f the control ef-
wood destroying organisms, shall maintain a»4
retain thos e records required by EPA at- the

962

NORTH CAROLINA REGISTER

PROPOSED RULES

address ©f t4»e certified applicator ©f at their
administrative business ad&ess ©f the address
©£ their resident agent the following records for
two years beyond the last date of treatment:

( 1) EPA approved brand name of all pesti-
cides used;

(2) Target pest;

(3) Site of application;

(4) Date of application; and

(5) That information required by 1'PA.

Statutory Authority G.S. 1 06-65. 29.

.0605 CONTRACTUAL AGREEMENTS FOR
WOOD-DESTROYING ORGANISMS

(a) All agreements for the control and/or
prevention of wood-destroying organisms in
existing structures shall be in writing. A copy
of the executed written agreement and waiver
(if applicable) pertaining to said treatment(s)
shall be presented to and furnished the prop-
erty owner or his authorized agent, for accept-
ance, and shall clearly set forth or include the
following:

(7) For existing structures the written
agreement shall include a foundation
diagram ©f sketch of the structure or
structures or portions of such structure
or structures inspected. The diagram
shall clearly indicate and make full dis-
closure thereon the location of individ-
ual water sources, any visual evidence
of wood-destroying organism infesta-
tion, whether it be active or inactive,
and damaged timbers. If a partial
treatment is to be performed the dia-
gram shall clearly indicate all the areas
of the structure to be treated.

Statutory Authority G.S. 106-65.29.

SECTION .0700 - HOUSEHOLD PESTICIDES

.0701 PRECAUTIONS

(a) Household pest control servicemen's kits
which contain pesticides shall m h© ease not
be left where pets, domestic animals, children
or other unauthorized persons might remove,
contact, or consume the contents, and name
of company licensee represents.

Statutory Authority G.S. 106-65.29.

.0702 HOUSEHOLD PESTICIDES: FOGGING

(e> bogging
f4-+ (aj Each licensee or his authorized agent,
before applying any flammable pesti-
cidal fog produced by thermal, me-

chanical or cold fog generators, shall
notify the fire department, having juris-
diction over the location where the
fogging material is to be applied, of the:
addrcss(es) of property(ies) to be
fogged; time fog is to be applied; time
of ventilation; and name(s) of
pesticide(s) used. Liquefied gas aer-
osols are exempt.

(3) (b| A fire extinguisher, in serviceable
condition, for Class B and C fires shall
be in the immediate possession of the
serviceman(men) during the fogging
period.

f3-f (c| All fires, flames, and pilot lights shall
be extinguished prior to the application
of any flammable pesticidal fog. All
electrical equipment, which might be
activated during application of a
flammable fog, shall be disconnected,
unless refused by the property owner
or his authorized agent. Liquefied gas
aerosols are exempt.
(b4 Space a«4 Re » jidual Spraying

(44 J» ar e as wh e r e treatment is t© be mado,
all open food ©* foodstuffs, ©? drug
commodities and aH utensils ©f equip
ment used m tbe preparation ©f food
©f drugs shall be adequately covered ©f

f, miiTiM.-l K.^4.-if. i <k;\ itMilwiti, -Wl I •> T r^Oi>J

I V. I I 1\ t 1 ^7_J ( '\- 1\ f 1 I. I I \\J 111 'I ■ I J L U 1 1 U 1 1 KJ I a poco

sprays, ©f complete, ©f spot surface Fe-
sidual sprays, t© insure against contam
ination by pesticidal materials, except
where such pesticidal materials afe ap-
p roved by EPA and State ©f North
Carolina label registrations fe* »se
without such precautions.
(-3) Spac e sprays, ©f complete surfac e rosi
d«al sprays, shall n©t- be applied unless
the structure ©f tbat portion ©f tbe
structure te- be tr e at e d is free ©f ooou

n ^-m 1 1- • ■ «t . I ii.it l- i 1 i i n ti ; > t \-i ±\ t f l V I t Til . > T 1 1 ' I It I 1
1 ' (.1 1 1 1 - 1 til TK1 1'Ll.l UU1 IIIC 1 1 HJ ii vuuiivin CTTT^T

subsequent ventilation period(s), e xc e pt
whore such pesticidal materials are ap-
proved by EPA an4 State ©f North
Carolina label registration f-©F «se with
©trt- such precautions.

Statutory Authority G.S. 106-65.29.

.0703 WRITTEN RECORDS OF

HOUSEHOLD PEST CONTROL

(a) Written records on the treatment for the
control of all household pests shall be main-
tained and made available for inspection any-
time during regular business hours upon
request from the enforcement agency. Such
records shall include the following information:

. L

NORTH CAROLINA REGISTER

963

PROPOSED RILES

(5) EPA approved common brand name
of pesticide used; and

(6) tf a restricted use pesticid e is used, That

information required by I: PA.
(b) (w Pour-digit certified applicators who
aw v*M- licensees t*f acting as authorised repre
sentatives ef a Iicenr .e e an4 who »*se a restrict
ed us e pesticide fo* &e control ef household
p**ts all »f Rale .0703(a) ef this Section shall
kt» followed, shall maintain the following re-
cords of pesticides applied:

( 1 ) EPA approved brand name of all pesti-
cides applied;

(2) Target pest:

(3) Exact site of application;

(4) Date of application: and

(5) Anv information required by EPA.

Ic) Records must be retained at- tfe© address
e+ the certified applicator &f tfee licensee ©f at
their administratis e business address e* the
addr e ss of th e ir resident agent for two years
beyond the last date of treatment.

StaiutPty Authority G.S. 106-65.29.

SECTION .0800 - FUMIGATION

.0803 WRITTEN RECORDS OF
FUMIGATION

(b) fe certified applicator ;, who a*e set h-
seasees ©f acting as authorised representatives
t*f a licensee a»4 who «s<* a restricted use pes
ticide all ef Rale .0S03(a) ef this Section shall
apply. Pour-digit certified applicators shall
maintain the following records of pesticides
applied:

( 1 ) EPA approved brand name of all pesti-
cides applied;

(2) target pest;

(3) E xact site of application;

(4) Date ot application: and

(5) Anv information required by EPA.

(c) Records must be retained at- the addr e ss
ef the c e rtifi e d applicator ef the licensee ef at
their administrative business addr e ss ef the
address of their resident agent for two years
beyond the last date of treatment warrants.
or the expiration date of the written agreement .
if applicable.

Statutory Authority G.S. 106-65.29.

.0805 FUMIGATION REQUIREMENTS:

SAFETY AND SAFETY EQUIPMENT

(b) Each certified applicator or licensed fu-
migator. when engaged in fumigation work,
shall maintain at his business location up-to-
date information on the handling and use of
fumigants, devices and materials for testing for

the presence of fumigants; and safety and test-
ing devices, such as gas masks, canisters, self-
contained breathing devices, gas detectors,
which are in serviceable condition, as required
bv the labeling of the fumigant(s) being used.

(d) Each certified applicator and each li-
censed fumigator, shall be outfitted with a fu-
migation safety kit, which shall be maintained
in completely serviceable condition and shall
be continuously and immediately available at
the fumigation site during the fumigation pe-
riod of each fumigation job in progress. Each
member of the fumigation crew shall be famil-
iar with the contents and use of a safety kit.
The safety kit shall contain a serviceable gas
mask or self-contained breathing apparatus, as
required bv the label of the fumigant being
used, a gas detector and a flashlight. The gas
mask or breathing apparatus shall be of a type
approved by the United States Mining En-
forcement and Safety Administration or Na-
tional Institute for Occupational Safety and
Health with correct canister and gas detector
for the type of fumigant used.

Statutory Authority G.S. 106-65.29.

.0806 FUMIGATION REQUIREMENTS FOR
FUMIGATION CREW

(c) At least two members of the fumigation
crew shall be equipped with a serviceable gas
mask or self-contained breathing apparatus of
a type approved by the United States Mining
Enforcement and Safety Administration or
National Institute for Occupational Safety and
Health with correct canister for the type of gas
used, and shall wear such masks while in the
enclosed space during and after liberation of
the fumigant, until initial ventilation is com-
pleted, except in those cases specifically ex-
cluded by label registration.

Statutory Authority G.S. 106-65.29.

SECTION .0900 - DUTIES AND
RESPONSIBILITIES OF LICENSEE

.0902 FINANCIAL RESPONSIBILITY

(b) Minimum limits:
Property Damage

S 10.000 $ 100.000 Each Occurrence

Bodily Injurv

$100,000 $30b.OOO Each Occurrence

(c) Each applicant for a license in any phase
of structural pest control shall show evidence
of his financial ability to properly indemnify
persons suffering from the use or application
of pesticides in the form of a Certificate of In-
surance, completed by the insurance company

964

NORTH CAROLINA REGISTER

PROPOSED RULES

with the Structural Pt»t- Control division »f the
North Carolina Department tft Agriculture
named as a certificate holder.

(d) The Certificate of Insurance shall clearly
set forth the type coverage, limits of liability,
and any exclusions of the insurance policy and
shall have attached a copy of cither endorse-
ment GL 04 17 or CG 0]_ 57 or other subse-
quent "Pesticide or 1 lerbicide Applicator
Coverage" endorsement approved by the
North Carolina Department of Insurance
which provides for pollution and contam-
ination coverage.

(f) The insurance policy(s) shall be with
companies licensed, or otherwise approved to
do business in North Carolina, by the NC
Department of Insurance. by ft*» Statu ©£
North Carolina. The insurance policy shall
be in full force and effect during the entire pe-
riod covered by the license certificate. The li-
cense shall expire at expiration or upon
reduction of the policies below minimum re-
quirements or cancellation thereof. Such ex-
pired license shall only be reinstated upon
satisfactory proof from the licensee that he has
obtained the required financial responsibility
coverage.

(i) The committee may accept other evidence
of financial responsibility, ft iii 'i iiranc e is «et-
available ' *t reasonable terms.

Statutory Authority G.S. 1 06-65. 29.

.0404 PROHIBITED ACTS

(g) No certified applicator, licensee or his
employees shall represent to any property
owner or his authorized agent or occupant of
any structure that any specific pest is infesting
said property, structure, or surrounding areas
thereof, if unless strongly supporting visible
evidence of such infestation does ftet oxist.

Statutory Authority G.S. 106-65.29.

SECTION .1 100 - INSPECTION FEES

.1103 RE-INSPECTIONS

fa) If a major discrepancy, as defined by the
committee, is found by the enforcement
agency, the licensee or certified applicator re-
sponsible for said discrepancy shall be notified,
in writing, as specified in Rule .1102(c) of this
Section of the discrepancy. At the end of 30
days from the date of notification a rein-
spection shall be made by the enforcement
agency to determine if the discrepancy has

been corrected. The licensee or certified ap-
plicator responsible for the discrepancy shall
be charged a fee of ten dollars ($10.00) for the
reinspection. The disclosure of a major dis-
crepancy by the enforcement agency shall re-
quire a reinspection and correction of the
major discrepancy before the date of rein-
spection shall not relieve the licensee or certi-
fied applicator of the responsibility to pay the
reinspection fee as heretofore set forth. If the
major discrepancy is not corrected on the first
reinspection date, the licensee or certified ap-
plicator shall be notified, in writing, and a sec-
ond reinspection shall be made at the end of
30 days from the date of notification. A fee
of twenty fivo dollars ($25.00) fifty dollars
($50.00) shall be charged the licensee or certi-
fied applicator for the second reinspection. If
the major discrepancy is not corrected on the
second reinspection date, the licensee or certi-
fied applicator shall be notified, in writing, and
a third reinspection shall be made at the end
of 30 days from the date of notification. A fee
of fifty dollars ($50.00) one hundred dollars
($100.00) shall be charged the Licensee or cer-
tified applicator for the third reinspection.
This reinspection procedure shall be repeated
at 30-day intervals thereafter until all major
discrepancies have been corrected. A fee of
fifty dollars ($50.00) one hundred dollars
($100.00) shall be charged the licensee or cer-
tified applicator for each reinspection made af-
ter the date of the third reinspection. If more
than one major discrepancy is found on a job
at any time by the enforcement agency or
committee, the licensee or certified applicator
responsible for the job shall be charged only
one reinspection fee for each reinspection of
the job. All such reinspection fees, as set forth
herein, shall be paid within 30 days of written
notice from the enforcement agency or the
committee. Failure of the licensee or certified
applicator to pay all such fees, within the time
specified herein, is a ground for disciplinary
action by the committee.

Statutory Authority G.S. 106-65.29.

TITLE 10 - DEPARTMENT OF HUMAN
RESOURCES

[yotice is hereby given in accordance with G.S.
150B-I2 that the Department of Human Re-
sources intends to amend and repeal regulations
cited as 10 NCAC 3R .0105 - .0106, .0108,
.0208 - .0211, .0303, .0307.

/WORTH CAROLINA REGISTER

965

PROPOSED RULES

1 he proposed effective date of this action is
July 1. 1988.

1 he public hearing will be conducted at 9:00
a. ru on April 15. I9SS at Hearing Room,
Council Building, 701 Barbour Drive, Raleigh.
North Carolina 2^603.

C ommenl Procedures: Address Comments
to. Glenn B. Lassiter, Jr., Legal Assistant to
the Director, Division of Facility Senices. 701
Barbour Drive, Raleigh, SC 27603.

CHAPTER 3 - FACILITY SERVICES

SUBCHAPTER 3R - CERTIFICATE OF NEED
REGULATIONS

SECTION .0100 - GENERAL INFORMATION

.0105 SCOPE AND PURPOSE (REPEALED)

.0106 DEFINITIONS (REPEALED)

.0108 QUARTERLY REPORT (REPEALED)

Statutory Authority G.S. 131E-177; 131E-177
I I); 131E-177 (2).

SECTION .0200 - STATE AGENCY
FUNCTIONS

.0208 CAPITAL EXPENDITURE MINIMUM

(REPEALED)
.0209 ANNUAL OPERATING COST

EXPENDITURE MINIMUM (REPEALED)
.0210 ACQUISITION OF MAJOR MEDICAL

EQUIPMENT (REPEALED)
.021 1 ACQUISITION OF A HEALTH CARE

FACILITY (REPEALED)

Statutory Authority G.S. 131E-176 (16) (b):
131E-176 (16) (f); 131E-176 (16) (j);
131E-176 (16) (n); 13 IE- 177.

SECTION .0300 - FUNCTIONS OF A HEALTH
SYSTEMS AGENCY

.0303 LETTER OF INTENT (REPEALED)

Statutory Authority G.S. 131 'E-177.

.0307 REVIEW CATEGORIES AND
SCHEDULE

(a) The agency will determine the appropri-
ate review category or categories for all appli-
cations submitted. For proposals which
include more than one of the categories, the
agency, if practical, will require the applicant
to submit separate applications. If it is not
practical to submit separate applications, the

agency will determine in which category the
application will be reviewed.

(b) The review of an application for a certif-
icate of need under G.S. 13 IF 181, "Required
Approvals," G.S. 13 Hi- 182 will commence in
the next review schedule after the application
has been determined to be complete. The
agency will determine if the proposed activity
mav be eligible for a certificate of need under
Qrir 131F^181. G.S. 131F-183.

(c) Except fof those applications eligible fof
review under Rule .0307 fb-^ all other Pro-
posals requiring review will be reviewed ac-
cording to the categories under &# schedule set
forth in this Rule,
as follows:

The review categories are

Category A includes proposals for acute
health care facilities, including but not
limited to the following types of pro-
jects: renovation, construction, major
medical equipment and other ancillary
and support equipment and services,
except those proposals included in Cat-
egory C and Category D.

(2) Category B includes proposals for
skilled nursing beds and intermediate
care beds which are reviewed against the
State Medical Facilities Plan.

(3) Category C includes proposals for the
following types of projects:

(A) psychiatric facilities;

(B) psychiatric services in existing health
care facilities;

(D) intermediate care services for the
mentally retarded in existing health care
facilities;

(E) substance abuse and chemical de-
pendency facilities; and

(F) substance abuse and chemical de-
pendency senices in existing health care
facilities.

(4) Category D includes proposals for the
following types of projects:

(A) inpatient rehabilitation facilities;

(B) inpatient rehabilitation senices in
existing health care facilities;

(D) ambulatory surgical facilities; and

(E) end stage renal disease treatment fa-
cilities.

(5) Category E includes proposals for the
following types of projects:

(A) life care facilities;

(B) home health agencies;

966

NORTH CAROLINA REGISTER

PROPOSED RULES

(D) any other proposal not included in
Categories A through D.

[ (\ I \ I C\T 111 VI 1 1 M r'l kO '11'!^ '■*•■'■' I h'Ui.'It i e tKfi .-i r/-. i-»

\ u ) i—ttt mnxtn "~i T no Hi tru t"7 w*i tttJTt rr? rrft? rtrtrrr

©f West e rn North (Carolina Health Systoms

J I '• Ul flL t \\ . a f-. il 1 I fAl l,: ^; ' ' ■ t 1 1 I'l^m m . i«-i i-n .-i r- tVi llfMi'.-'

I TSRR T ■ 1 1 1~ \\. V IV fi -t TVTTT L^'I 111 1 lt?l Iti? CtTT rTTTtWTTTTT

(44 ftftr Catogory A bh- March ft ftfty 4- an4
October 4- ef each year;
ftftr- Cat e gory ft »» April ft August 4-

(44
(44

tt«4 November 4- »+" each year;

44w Categoric!' ! G h» May ft I

4- aft4 D e c e mb e r 4- ef each year;

ftftr- Category ft »» February ft June 4-

a«4 September 4- t-4 each year; an4

ft»f Category ft »» June 4- i*«4 Decern

V-. . i«- 1 i"\ T d • 1 ■ 'ft. 1 : . \- \ r-

I'll T U 1 \J U l_ 1 1 f CCO .

Beginning review dates for the review of Cer-
tificate of Need applications in each category
by geographical area will appear in the appli-
cable State Medical Facilities Plan.

(e) 4-ftf h e alth service afea 4ft which ft ft*e
afea ef Piedmont H e alth Systems Agency, t4*e
review; . w-41 commenc e as follows:

(44 ftftr- Category A em May 4-r August 4-

- * t t . 1 j \.jk. ; *t> ^ ft . i r- I i^^ i^ 1 1 I i i , t \ i i " ■
CTTTTX TmrtTTTTTT T D I LMII 1 T VTll ,

f24 ftef Category ft e« April ft 4*4y 4- af%4

November 4- ef e ach year;
(44 4-ft? Catogory G »«• March ft June 4- rt«4

October 4- tft e ach year;
(-44 4*eF Category © ©ft February ft June 4-

r*«4 S e ptember 4- e£ each y e ar; a«4
(44 ftftf Category ft e» March 4- a«4 Sop

temb e r 4- »f each year.

(ft ftftr- health service afea 44ft winch ft ft*e

afea tft Southern Piedmont I Iealth Systems

Agency, the reviews wftl comm e nc e as follows:

(-ft ftftr- Category A e» April ft August 4-

a«4 November 4- (ft each year;
(-34 ftftp (Category ft ©» May ft September

4- a»4 December 4- tft each year;
(44 ftftf Category G e» February ft June 4-

aft4 October 4- tft each year;
(44 ftftf Cat e gory 14 t» March ft ftfty 4- a»4

October 4- e4^ e ach year; »ft4
(4} 44»f Category ft »«• June 4- a«4 Decern

ft* . 1»~ 1 1~\ 1 . > ■ 'I ■■ - It 1 M'll 1

I'VI T^ C7T CTTTTTT TvOTt

(§4 ftftf health sen'ice fctfe+t ftV^ wliich ft tft»
a«» e£ Capital Health Systems Agency, tft»
reviews w444 commonco as follows:

(44 44*f Category A e« February ft June 4-

em4 October 4- tft e ach year;
(4) ftftf (-at e gory ft »» March ft August 4-

ch+4 December 4- ©f each y e ar;
ftft ftftf Category G ©» April ft ftfty 4- e*«4

Nov e mber 4- *4 each y e ar;
(4f ftftp Category ' 44 ©«• May ft September
4- aft4 Dec e mb e r 4- ef each year: »«4

f4 i ftftf Category ft »» May 4- af>4 Novum

ft. .-i*- 1 ni ^^^-ji, i n i'ir

fur t rrr i-T_ii-'i i t i^'lltt

(ft) ftftf health servic e wea fty which ft tfte
afea ef tfte Cardinal Health Syst e ms Agency,
ftn* reviews w-tU commenc e as follows:

(44 ftftf Category A e» March ft ftfty 4- an4
October 4- ejf each year;
ftftf Category r ft »» February ft June 4-
a«4 September 4- ef each y e ar;
ftftf Category G »» May ft August 4-
a«4 November 4- ef e ach year;
ftftp Category 14 »» April ft August 4-
a«4 December 4- ef each year; a«4
ftftr- Category ft e» April 4- &»4 Ne-
vombur 4- »f each year.
J4»f h e alth s e rvic e area ftft which ft tbe
m» ef Eastern Carolina 1 Iealth Systems
Agency, ft» reviews w4J oomrnenco as follows:
(44 J4e* Catogory A »» May ft September
4- afi4 Deoomber 4- e£ each year;
ftftf Catogory ft e» February ft Juno 4-
a«4 October 4- e4^ each year;
ftftp Category G »» March ft ftfty 4- ae4
November 4- ef each year;
ftftf Category 14 e» April ft August 4-
a«4 November 4- ©f each year; aft4
Pef Category^ ft e» April 4- a«4 October

^L ^^i - 1 ■ i , \ \ \ , , ' , ■ i r
~ rrr ctttttt t t hi .

44*e ag e ncy may d e signat e specified Fe-
sch e dul e s fo* geographic subdivisions
within a category »f categories te- be applied
during a calendar y e ar. Wh e n the agency 4es-
ignates a review sch e dul e moro spocific than
ft*e categories establish e d by ftfts Rule, t4+e
i ipecified review schedule w444 be included ft>
4h* applicable State Medical Facilities Plan.

Statutory Authority G.S. 13IE-177.

1 V otice is hereby given in accordance with G.S.
1 SOB- 1 2 that the Division of Health Services
intends to amend regulations cited as 10 NCAC
10A .1935, .1943, .1955 - .1956, .1961, .1963.

I he proposed effective date of this action is
August 1, 1988.

I he public hearing will be conducted at 1 :30
p.m. on April 15, 1988 at Archdale Building,
Hearing Room (G-170), 512 N. Salisbury
Street, Raleigh, North Carolina.

(34
(44
(ft

(3)

(44
(44
(S4

omment Procedures: Any person may re-
quest information or copies of the proposed

NORTH CAROLINA REGISTER

967

PROPOSED RULES

rules by writing or calling John P. Barkley,
Agency Legal Specialist. Dh'ision of Health
Services, P.O. Box 2091. Raleigh. Sorth Caro-
lina 27602-2091, (919) 733-3134. Written
comments on these subjects may be sent to Mr.
Barkley at the above address. Written and oral
(for no more than ten minutes J comments on
these subjects may be presented at the hearing.
Xotice should be given to Mr. Barkley at least
three days prior to the hearing if you desire to
.speak.

CHAPTER 10 - HEALTH SERVICES:
ENVIRONMENTAL HEALTH

SUBCHAPTER 10A - SANITATION

SECTION .1900 - SEWAGE TREATMENT
AND DISPOSAL SYSTEMS

.1935 DEFINITIONS

The following defirutons shall apply through-
out this Section:

( 16) "Parent material" means the mineral
matter that is in its present position through
deposition bv water, wind, gravity or bv de-
composition of rock and exposed at_ the land
surface or overlain bv soil or saprolite.
h!M (2~i "Rock" means the consolidated or
partially consolidated mineral matter or
aggregate, including bedrock or weathered
rock. t*f saprolite. not exhibiting seii the
properties of soil and exposed at the land
surface or overlain by soil or saprolite.
I 29) "Saprolite" means thoroughly decom-
posed earthy mineral matter, weathered m
place from igneous or mctamorphic rock
and usually overlain bv soil and exhibiting
some properties of rock.
(4^4 (35) "Soil" tof ?4*e purports ef subsur
faee ' ji ' V i age tr e atm e nt aft4 disposal, means
the naturally occurring, unconsolidated
mineral and organic material of the land
surface, developed from rock or other
parent material and J4- consists of sand,
silt, and clay -sized particles minerals and
variable amounts of organic materials.
Soil does not exhibit properties of rock
or parent material. However, zones of
transition in which soil characteristics
predominate shall be considered soil.

Statutory Authority G.S. 1 30.4-335: e /.

.1943 SOIL DEPTH

4-b* d e pth &f seik to- peek- v , hich aw clarified
a* Suitable ef Provisionally Suitable a* to res-
tore r«4 structure shall ee at least 4& inch e s

when conventional ground absorption systems
at conventional depths are to Ire utilized.

(a) Soil depths to saprolite, rock, or parent
material greater than 48 inches shall be con-
sidered Suitable as to soil depth. Soil depths
to saprolite, rock, or parent material lew? than
4X inches and greater tha» between 36 inches
and 48 inches shall be considered Provisionally
Suitable as to soil depth. Soil depths to sa-
prolite, rock, or parent material less than 36
inches ef le** shall be classified Unsuitable as
to depth. Where special design arei- installation
modifications ea«- tre made to provide at- l e ast
e*re feet ef naturally occurring wre. bolow tire
bottom ef tke nitnfication trench, such soils
Fftay ee reclassified Provisionally Suitable as to
depth.

(b) Where the site is UNSITTABI E with
respect to depth, it mav be reclassified PRO-

VISIONALLY SUITABLE after a special in-
vestigation mdicates that a modified or
alternative system can be installed in accord-

1956 or Rule .1957 of this

ance with Rul
Section.

Statutory Authority G.S. 130A-335(e).

.1955 DESIGN CRITERIA FOR

CONVENTIONAL SYSTEMS

(m) Nitrification trenches shall be installed

with at least one foot of naturally occurring
soil between the trench bottom and saprolite,
rock, or any soil horizon unsuitable as to tex-
ture, structure, soil consistence or drainage.

Statutory Authority G.S. 130A-335(eJ.

.1956 POSSIBLE MODIFICATIONS TO
CONVENTIONAL SEPTIC TANK
SYSTEMS

Possible modifications to conventional septic
tank systems which may be utilized to over-
come selected soil and site limitations and
must be approved by the local health depart-
ment include the following:
(3) Modified nitrification trenches or lines,
including large diameter pipe (greater than
four inches I.D.). and specially designed
porous block systems V typ e nitrification
trenches, shall may be approved permitted
on a site-specific basis by the local health
department.
(a) Gravelless nitrification trench systems
mav be substituted for conventional
trench systems on anv site tound to be
suitable or provisionally suitable in ac-
cordance with Rule .194H to .1948 to
eliminate the need for gravel, minimize

96S

SORTH C ARC) LIS A REGISTER

PROPOSED RULES

sile disturbance, or tor other site plan-
ning considerations. Gravelless nitrifi-

cation trench systems shall not be used,

however^ where wastes contain high
amounts of grease and oil, such as res-
taurants.

(i) I arge diameter pipe systems shall
consist o| eight-inch or ten-inch (inside
diameter), corrugated, golyethvlene
tubing encased in a nvlon. polyester, or
nylon polyester blend filter wrap in-
stalled in a nitrification trench, 12 or
more inches wide and backfilled with
soil classified as soil group f I_f or 111.
Nitrification area requirement shall be
determined in accordance with Rule
J955Tb) and .1') 5 5(c), with eight -inch
tubing considered equivalent to a two-
foot-wide conventionaj trench and ten-
inch tubing considered equivalent to a
three-foot-wide conventional trench.
The long-term acceptance rate shall not
exceed U.8 gallons per day per square
foot . Tubing and fittings shall comply
with the requirements of ASTM P-667.
AS I M f-667 has been adopted by ref-
erence m accordance with G.S.
150B- 14(c). Copies of the standards
may be inspected in and copies ob-
tained from the Sanitation Branch. Di-
vision of 1 lealth Services, PC). Box
2091. Raleigh) NC 27602-2091. The
corrugated tubing shall have two rows
of holes, each hole between j'8's and
1 2-inch in diameter, located 120 de-
grees apart along the bottom half ot the
pipe (each 60 degrees fro in the bottom
center line) and staggered so that one
hole is present in the valley of each
corrugation. The tubing shall be
marked with a visible top location indi-
cator, 120 degrees away from each row
of holes. filter wrap shall be spun,
bonded, or spunlaced nylon, polyester,
or nvlon polyester blend nylon filter
wrap meeting the following minimum
requirements:

I nit Weight:

Sheet Grab Tensile:

Trapezoid Tear:
XD- 5.1 lbs-
Mullen Burst: PS1

KPa = 276

brazier Air Perm. CI M ft

O: 500"

Oz/yd- = 1.0
MP - 23 lbs.
SD - 14 lbs.
MC - 6.2 lbs

40
0.5 "Ho

Corrugated tubing shall be covered with
filter wrap at the ("acton and each joint
shall be immediately encased m a black
pol\ ethylene sleeve which shall con-
tinue to encase the large diameter pipe
and wrap until )ust prior to installation
in the trench. 1 arge diameter pipe sys-
tems shall be installed m accordance
with this Rule and the manufacturer's
guidelines. The trench bottom and
pipe shall be level (with a maximum fall
of one inch m 100 feet). I Titer wrap
encasing the tubing shall not be ex-
posed to sunlight (ultraviolet radiation)
for extended periods. Rocks and large
shall be removed from

soil

clumps

backfill material prior to being used.
Clayey soils (soil group IV) shall not
be used for backfill. 1'he near end of
the large diameter pipe shall have an
eight -inch by four-inch or ten -inch by
four-inch offset adaptor (small end
opening at top) suitable for receiving
the pipe from the septic tank or dis-
tribution device and making a mechan-
ical joint in the nitrification trench,
(ii) Prefabricated, permeable block panel
system shall consist of a network of
16-inch-high, prefabricated, porous,
eight-inch block panels containing hor-
izontal and vertical air chambers, in-
stalled approximately six inches apart in
a nitrification trench ( IK to 24 inches
wide) lined with approved sand fill and
individual trenches spaced on a mini-
mum cent ei -to-center spacing of nine
feet.

(A) Nitrification area requirement shall
be determined in accordance with
Rule .1955(b) and .1955(c), with each
linear foot of panel trench considered
equivalent to a three-foot-widc con-
ventional trench. Where a low-pres-
sure distribution system is utilized
which is designed to uniformly dis-
tribute effluent to each panel, in ac-
cordance with Rule .1957(a). total
trench length may be reduced by up_
to 40 percent, when the maximum
design sewage flow is 480 gallons per
day or less.

(B) Block construction, sand till mate-
rial, and system installation shall be
in accordance with this Rule and the
manufacturer's guidelines.

(h) Other types of nitrification trenches or
lines may be approved by the local
health department on a site-specihe ba-

NORTH CAROLINA REGISTER

969

SBSSBS

■aittwdai

PROPOSED RULES

sis provided substantiating data in ac-
cordance with Rule 1^48(c) are
submitted which indicate that the pro-
posed nitrification trench or line will
perform equal to or better than a con-
ventional trench or line.

(4) Sites

sified UNSUITABLE as to soil

depth, with saprolitc present, may be re-
classified PROVISIONALLY SLTT-
AB1 I as to sojj depth when the
provisions of this Paragraph are met,
(a) An investigation of the site using pits
or trenches at locations and to depths
specified bv the local health department
shall be conducted. The following
physical properties and characteristics
must be present:

(1) the saprolitc shall be weathered from
acidic (granite, gneiss, or schist) parent
rock types of mctamorphic or igneous
ongin;
(ii) the saprolite texture shall be suitable
and saprolite shall have less than 20
percent clav:
(in) clav mineralogy shall be suitable;
(iv) the saprolite consistence shall be
loose, friable to vcrv friable when moist
as determined in place and nonstickv
or nonplastic when wet ;
(v) the saprolite shall be overlain bv at
least one foot of SI II A B If or PRO-
YINION \l 1 Y SI II Mil 1 naturally

occurring sou

and

(vi) the saprolite shall have no joints or
fractures relic of parent rock to a depth
two feet below the proposed trench
bottom,
(h) 'fable III shall be used in determining
the long-term acceptance rate for septic
tank systems installed pursuant to Par-
agraph (5). I he long-term acceptance
rate shall be based on the most hv-
draulicallv limiting, naturally occurring
saprolite to a depth of two feet below
trench bottom.

TABLE III

LONG-TERM
ACCEPTANCE RATE

gpdft 2
p_6- 0_5
0_5 - 04
0_4- 03

( ±ll ( ±l
Saprolite textural classifications shall be deter-
mined from disturbed materials and deter-
mined bv Rule .m41(I). The local health
department may require low-pressure distrib-
ution in conventional nitrification trenches, or
other modifications to provide adequate ef-
fluent treatment and disposal.

(c) Only ground absorption systems with a
design daily flow of 480 gallons or less
shall be installed on sites reclassified
to this Paragraph |Rule

pursuant
.1950(4)1.
(d) The nitrification field shall be con-

structed using nitrification trenches with
a maximum width of three feet and a
maximum depth of two feet on the
downslope side of the nitrification
trench. The bottom of a nitrification
trench shall be a minimum of two feet
above rock. However, where SUIT-

ABLE or PROVISIONALLY SI II-
ABI.E soil underlies the trench bottom,

[e]

®
[g]

this separation distance may be reduced
bv subtracting the actual soil depth be-
neath the trench bottom from 24 inches
to establish the minimum separation
distance from the trench bottom to
rock.

The bottom of any nitrification trench
shall be a minimum of two feet above
any wetness condition.
Surface and subsurface interceptor drains
may be required.

Exceptions to the provisions of Rule
.1950(a) found in Rule .1950 and .1951
shall not apply to systems installed
pursuant to this Paragraph |Rule
.1956(4)1.

SAPROI ITE
CiROl'P

Sand
II

Loam

SAPROI I IT
TEXTl'RAL CLASSES

Sands

Sand

Loanry

Coarse I oams

Sandv

(with less Loam
than 20 % clav)

Statutory Authority G.S. 1 30.4-335 (e J.

10 NCAC 10 A .1956 has been amended pursu-
ant to a rule-making petition in Subparagraph
1 3) (a) (i) as follows:

.1956 POSSIBLE MODIFICATIONS TO
CONVENTIONAL SEPTIC TANK
SYSTEMS

Possible modifications to conventional septic
tank systems which mav be utilized to over-

9~()

NORTH CAROLINA REGISTER

PROPOSED RULES

come selected soil and site limitations and
must he approved by the local health depart-
ment include the following:
(3) Modified nitrification trenches or lines,
including large diameter pipe (greater than
four inches I.D.), and specially designed
porous block systems, V-type nitrification
trenches, shall be approved ««■ a bit e ape
eifte buf i is by the local health department.
(a) Gravelless nitrification trench systems
may be substituted for conventional ni-
trification trench systems on any site
found to be suitable or provisionally
suitable in accordance with Rules . 1 940
to .1948 to eliminate the need for
gravel, minimize site disturbance, or for
other site planning considerations.
(i) A Prefabricated Porous Block Panel
System (PPBPS), utiliy.es both hori-
zontal and vertical air chambers to
promote better quality effluent.
(A) The PPBPS shall consist of the
following basic components:
(1) A state approved two-com-
partment septic tank with a sani-
tary or other approved
pretreatment system.
(11) An effluent distribution device

as stated in Rule . 1^55( 1).
(Ill) A network of panels placed in
a nitrification trench as described
in Rule .1955(4).

(B) The soil and site criteria for a panel
system shall meet the following min-
imum requirements:
(1) Components of the panel sys-
tem shall not be located in a de-
pression or areas subject to
frequent flooding. Surface water,
perched ground water, and other
subsurface lateral water movement
shall be intercepted or diverted
awav from all components of the
panel system.
(11) There shall be at least L2 inches
of separation between the sea-
sonally high water table and the
trench bottom.
(Ill) location of the septic tank, ef-
fluent distribution devices, and pa-
nel system nitrification field shall
be subjected to the same horizontal
setback specified in Rule .1950(a),
except as approved by the local
health department.
(IV) A panel svstcm should not be
installed on slopes in excess of 30
percent. The panel svstcm may

be installed on slopes greater than
30 percent but may require special
design to assure proper distribution
of the effluent over nitrification
field.

(V) There shall be no soil disturb-
ance to an approved site for a pa-
nel system except the minimum
required for installation.

(D) In calculating the number of
square feet for a panel system's nitri-
fication field, design sewage flow shall
be divided bv the application rate
from Table H of Rule .1955(b), then
multiplied by the panel system ratio
(50 percent for the 16 inch PPBPS
or 40 percent for the 24 inch PPBPS)
as shown below:

Conventional Systems With

12 Inches of Stone

600 sq. ft.

200 linear ft.

16 Inch PPBPS

100 linear ft. of

16 inch high PPBPS

(200 linear ft.

x 0.50)

12 Inch PPBPS

80 linear ft of

24 inch high PPBPS

(200 linear ft

x 0.40)

Using eight feet on center separation of the
trenches, except as approved bv the local
health department.

(F) Installation of the PPBPS shall
consist of the following:
(I) Fach nitrification line shall be
installed on contour. The nitrifi-
cation trenches shall be con-
structed as level as possible, but in
no case shall the fall in a single
trench bottom exceed one-fourth
inch m ten feet. The nitrificatin
trench shall be a width of two feet.
Farth dams should be used when
the slope is to severe to allow for
single level construction. Foot
traffic on t]ie bare trench bottom
should be avoided. 1 he depth of

NORTH CAROLINA REGISTER

971

mmtt

nam

PROPOSED RULES

the trendies should not exceed a
depth of 36 inches lor the 24 inch
panel or 30 inches for the 16 inch
panel except as approved by the
local health department.
(II) On the bottom of each nitrifi-
cation trench there shall be a min-
imum of six inches of medium
sand with a fmeness modulus of

ponding of rain water. Surface-
water shall be diverted away from
the nitrification field.

2.3 to 3J3 (ji screened or washed
sand), except as approved bv the
local health department. On top
of the six inches of fill sand there
shall be a one inch x six inch board
laid flat on the six inch side. This
board is to assure the proper level
and placement of the panels. The
panels, with one inch of particle
sand (a fine grade of sand blasting
sand ) placed in the upper-middle

chamber, are then placed on the
board at_ a minimum of six inch
intervals. The panels should be
connected together with two inch
diameter schedule 40 or equivalent
pipe. The same size and type pipe
should connect the distribution
devices and the first panel. This
pipe should be placed where the
effluent discharges i nto the upper-
middle chamber between the air
chambers on either side. This pipe
shall be sealed at the outer cradle
completely, while the inner cradle
shall be sealed onlv to the top ra-
dius of the pipe to allow air flow
from the air chambers to the up-
per-middle chamber. This seal
shall be made with a tar or butyl
seal rope product that is pliable
and soft. Once this is completed,
there shall be a cap block placed
over the air chamber and inlet of
the upper-middle chamber. After
the placement of the cap block,
which mav serve as an inspection
port at a later date, the nitrification
trench shall then be backfilled to
the top of the panels with the sand
till as previously specified.
(Ill) The soil cover over the nitrifi-
cation trench should be a mini-
mum depth of six inches, except
as approved bv the local health
department. The finished grade
over the nitrification field should
be landscaped to prevent the

(IV) Nitrification trenches placed in
Group IV soils shall necessitate
raking of the sidewalls of the trench
to open the pores which were
damaged and scaled during exca-
vation.

(F) The PPBPS mav also be utilized
as a pressure dosed ground absorp-
tion system with two to four feet of
pressure head.

Statutory Authority G.S. 130A-335(e).

.1961 MAINTENANCE OF SEWAGE
SYSTEMS AND SEPTAGE
DISPOSAL

(c) Ground absorption Sewage collection.
treatment, and disposal systems which create
a public health fklrr e nvironmental hazard, or
nuisance by surfacing of effluent or discharge
directly into the ground water or the surface
waters shall be repaired within 30 days of no-
tification by the state or local health depart-
ment unless the notification otherwise specifies
in writing. The state or local health depart-
ment shall investigate a**y malfunctioning sys-
tem af*4 use its tk«» best professional judgement
practical technology consistent with

public health practice in requiring repairs t» a
malfunctioning ground absorption sewage
treatment a»4 disposal system. which will
reasonably enable the system to function
properly.

Statutory Authority
130A-335(e).

G.S. 130A-294;

.1963 DISLSE OF SEWAGE SYSTEM

Notwithstanding the foregoing provisions of
Rule .1962 of this Section, if, for any reason,
a sewage collection, treatment, and disposal
system is nonrepayable in accordance with
Rule . 1961(c) of this Section, fetis tfrie disre
prrtf of has been disconnected, such system
shall not be used again unless it- me e ts aU ef a

vstem can be permitted under the provisions
of Rule .1948(c). tkis Section &f unl e ss tke
local health department determines such r e us e
wili ft»t- ci eat e a public health hazard.

Statutory Authority G.S. I30A-335(e).
******************

9~ 2

SORTH CAROLINA REGISTER

PROPOSED RULES

otice is hereby given in accordance with G.S.
1 SOB- 1 2 that the Commission for Mental
Health, Mental Retardation and Substance
Abuse Senices intends to adopt regulations
cited as 10 NCAC 14K .0101 - .0103, .0201 -
.0203, .0205 - .0212, .0214 - .0218, .0301 -
.0364, .0401 - .0408; 10 NCAC 14L .0101 -
.0106, .0201 - .0203, .0301 - .0310, .0401 -
.0407, .0501 - .0508, .0601 - .06/3, .0701 -
.0712; 10 NCAC 14M .0101 - .0/13. .020! -
.0210, .030/ - .0304, .040/ - .04/0, .0501 -
.0512, .0601 - .0616, .0701 - .0716; 10 NCAC
14N .0101 - .0107, .0201 - .0207, .0301 - .0307,
.0401 - .0406, .0501 - .0507, .0601 - .0607,
.0701 - .0705, .0801 - .0811; 10 NCAC 140
.0/0/ - .0109, .0201 - .0212, .0301 - .0314,
.040/ - .04/6, .0501 - .0505, .0601 - .0619;
amend regulations cited as 10 NCAC 181
.0120; 10 NCAC 18J .0602, .0709, .07/2; 10
NCAC 18L .0333 - .0334, .0337 - .0338, .0429,
.0432, .0604, .0702 - .0703. .0705 - .0707, .0804
- .0809, .0903 - .0904, .1002, .1004 - .1006,
.1102 - .1107, .1203 - .1206, .1302 - .1305,
.1402 - .1403, 10 NCAC ISM .0506. .0607 -
.0608, .0701. .0704, .0801 - .0803; 10 NCAC
18Q .0/23, .0/26, .0284, .0286 - .0287, .0320,
.0520 - .0521, .0538 - .0541, .0802 - .0804,
.0808, .0810, .0812; and repeal regulations cited
as 10 NCAC ISJ .0408 - .0409; 10 NCAC 18L
.1202; 10 NCAC 18M .0702, .0804 - .0816.
.0819 - .0821. .1201 - .1202; 10 NCAC ISO
.0104 - .0123, .0218 - .0227, .0311 - .0321,
.0405 - .04/5, .0638 - .0651; 10 NCAC JSP
.0131 - .0143, .0227 - .0244, .030/ - .03/3,
.040/ - .0407, .0501 - .0508, .0601 - .0603,
.0701 - .0707, .0801 - .0807, .0904; 10 NCAC
18Q .0/24, .0285, .0321 - .0334, .0421 - .0433,
.0522 - .0537, .0601 - .0611, .0701 - .0708,
.0806; 10 NCAC I8R .0/0/ - .0/09. .0201 -
.0214, .0301 - .0306, .0401 - .0405, .0501 -
.0504, .060/ - .0605, .0701 - .0702, .0801 -
.0803, .0901 - .0902. .1001 - .1004, .1101 -
.1106, .1201 - .1209. .1301 - .1302, .1401 -
.1402; 10 NCAC 45H .0119 - .0/33.

1 V otice is hereby given in accordance with G.S.
1 SOB- 12 that the Department of Human Re-
sources, Secretary of DHR intends to adopt
regulations cited as 10 NCAC 14K .0204, .02/3.

he proposed effective date of this action is
October I, 1988.

1 he public hearing will be conducted at 10:00
a.m. on April 19, 1988 at Holiday Inn State
Capital, 320 Hillsborough Street, Raleigh, N.C.

27603.

omment Procedures: Any interested person
may present his/her comments either by oral
presentation at the hearing for a maximum of
ten minutes or by submitting a written state-
ment. Persons wishing to make oral presenta-
tions should contact: Jan Warren, A. P. A.
Coordinator, Division of Mental Health, Mental
Retardation and Substance Abuse Services, 325
N. Salisbury Street, Raleigh, N.C. 27611, (919)
733-7971 by April 15, 1988. The hearing re-
cord will remain open for written comments
from March 15, 1988 through April 19, 1988.
Written comments must be sent to the A. P. A.
Coordinator at the address specified above and
must state the proposed rule/rules to which the
comments are addressed. Fiscal information
on these rules is also available from the address
specified above.

CHAPTER 14 - MENTAL HEALTH: GENERAL

SLBCHAPTER 14K - CORE L1CENSLRE
RLLES FOR MENTAL HEALTH: MENTAL

RETARDATION AND OTHER

DEVELOPMENTAL DISABILITIES: AND

SUBSTANCE ABUSE FACILITIES

SECTION .0100 - GENERAL INFORMATION

.0101 PURPOSE: SCOPE AND

APPLICABILITY OF RULES

(a) Subchapters 14K through 140 of this
Chapter set forth licensure rules for mental
health, mental retardation and other develop-
mental disabilities and substance abuse facili-
ties. Under the provisions of G.S. 122C-23
and G.S. 122C-24, a facility shall comply with
these Rules. Failure to comply with these
Rules shall be grounds for the department to
deny or revoke a license.

(b) The Rules are codified in this Chapter
as follows:

(1) Subchapter 14K - core rules applicable
to all types of facilities licensed under
the provisions of G.S. 122C, Article 2;

(2) Subchapter 14L - rules applicable to
mental health facilities;

(3) Subchapter 14M - rules applicable to
mental retardation and other develop-
mental disabilities facilities;

(4) Subchapter 14N - rules applicable to
substance abuse facilities; and

(5) Subchapter 140 - rules applicable to
facilities serving more than one disabil-
ity.

(c) When a facility contracts with a person
for the provision of services, or portions of a
service, the facility shall ensure that the con-

NORTH CAROLINA REGISTER

973

PROPOSED RULES

tract scnices are provided in accordance with
the applicable rules in this Subchapter and
with 10 NCAC 14L. 14M, 14N, or 140 de-
pending upon the type of client population
served.

(d) In cases where no specific licensure rules
exist for certain types of licensable mental
health, mental retardation and other develop-
mental disabilities or substance abuse facilities,
the core rules contained in this Subchapter
shall apply.

Statutory Authority G.S. 122C-23; I22C-24;
I22C-26; 143B-/47.

.0102 COPIES OF LICENSURE RILES

(a) The Division of Mental Health, Mental
Retardation and Substance Abuse Services
(DM11 MR/SAS) shall distribute a limited
number of free copies of licensure rules con-
tained in Subchapters 14K through 140 of this
Chapter to area programs for area-operated
facilities and for contract agency facilities.
(Additional copies may be purchased from
DMH/MR SAS at a price to cover printing
and postage.)

(b) bach area program shall distribute to
each of its area-operated and contract agency
facilities a copy of these licensure Rules.

(c) The Division of Facility Services (DFS)
shall distribute a limited number of free copies
of the licensure Rules to private facilities.

Statutory Authority G.S. 122C-26; 143B-147.

.0103 DEFINITIONS

(a) This Rule contains the definitions that
apply to all the rules in this Subchapter and
Subchapters 14L through 140 of this Chapter.

(b) In addition to the definitions contained
in this Rule, the terms defmed in G.S. 122C-3
also apply to all the rules in this Subchapter
and Subchapters 14L through 14C) of this
Chapter.

( 1 ) "Administering medication" means di-
rect application of a drug to the body
of a client by injection, inhalation, ing-
estion, or any other means.

(2) "Adolescent" means a minor between
13 and 17 years of age.

(3) "Adult" means a person 18 years of age
or older or a person under 18 years of
age who has been married or who has
been emancipated by a court of com-
petent jurisdiction or is a member of the
armed forces.

(4) "Aftercare" means those services pro-
vided to substance abuse clients after
discharge from a service which facili-
tates the client's
integration 'reintegration into society.
Activities may include self-help groups,
supportive work programs and staff
follow-up contacts and interventions.

(5) "Alcohol abuse" means psychoactive
substance abuse which is a residual cat-
egory for noting maladaptive patterns
of psychoactive substance use that have
never met the criteria for dependence
for that particular class of substance
(criteria delineated in DSM-III-R pub-
lished by the American Psvchiatric As-
sociation, 1400 K Street, N.W.,
Washington, D.C. 20005 at a cost of
twenty-nine dollars and ninety-five
cents ($29.95) for the soft cover edition
and thirty-nine dollars and ninety-five
cents ($39.95) for the hard cover edi-
tion.)

(6) ".Alcohol dependence" means psy-
choactive substance dependence which
is a cluster of cognitive behavioral, and
physiologic symptoms that indicate that
a person has impaired control of psy-
choactive substance use and continues
use of the substance despite adverse
consequences (criteria delineated in
DSM-III-R published by the American
Psychiatric Association, 1400 K Street,
N.W., Washington, D.C. 20005 at a
cost of twenty-nine dollars and ninety-
five cents ($29.95) for the soft cover
edition and thirty-nine dollars and ni-
nety-five cents ($39.95) for the hard
cover edition.)

(7) "Applicant" means any person who
intends to establish, maintain or operate
a licensable facility and who applies to
the department for a license to operate
a facility under the provisions of G.S.
122C, Article 2.

(8) "Area program" means a legally con-
stituted public agency providing mental
health, mental retardation and sub-
stance abuse services for a catchment
area designated by the commission.

(9) "Assessment" means a procedure for
determining the nature and extent of the
problem for which the individual is
seeking service.

(10) "Certified counselor" means an alco-
holism, drug abuse or substance abuse
counselor who is certified bv the North

9~4

NORTH CAROLINA REGISTER

PROPOSED RULES

Carolina Substance Abuse Professional
Certification Board.

(11) "Child" means a minor between birth
and 12 years of age.

(12) "Chronically mentally ill adult" means
an individual 18 years of age or older
who, as a result of a mental disorder,
exhibits emotional or behavioral func-
tioning which is so impaired as to in-
terfere substantially with his/her
capacity to remain in the community
without supportive treatment or ser-
vices of a long-term or indefinite dura-
tion. In these persons, mental disability
is severe and persistent, resulting in
long-term limitation of their functional
capacities for primary activities of daily
living such as interpersonal relations,
homemaking, self-care, employment
and recreation.

(13) "Client record" means a written ac-
count of all services provided a client
from the time of formal acceptance of
the client by the facility until termi-
nation of services. This information is
documented on standard forms adopted
by the facility which are tiled in a stan-
dard order.

( 14) "Clinical" means having to do with the
direct treatment habilitation of a client.

(15) "Clinical staff member" means a pro-
fessional who provides active
treatment habilitation to a client.

(16) "Clinical/professional supervision"
means regularly scheduled assistance by
a qualified mental health professional,
a qualified substance abuse professional
or a qualified developmental disabilities
professional to a staff member who is
providing direct, therapeutic inter-
vention to a client or clients. The pur-
pose of clinical supervision is to ensure
that each client receives appropriate
treatment and'or habilitation which is
consistent with accepted standards of
practice and the needs of the client.

(17) "Contested case" means an adminis-
trative proceeding under G.S. 150B,
Article 3, in which the rights, privileges,
or duties of a party(s) are required by
law to be determined.

(18) "Declaratory ruling" means a formal
and binding interpretation as to:

(A) the validity of a rule; or

(B) the applicability to a given state of
facts of a statute administered by the
Department of Human Resources, or a

rule or order of the Department of Hu-
man Resources.

(19) "Detoxification" means the physical
withdrawal of an individual from alco-
hol or other drugs in order that the in-
dividual can participate in rehabilitation
activities.

(20) "Developmentally delayed children"
means those whose development is de-
layed in one or more of the following
areas: cognitive development, physical
development, language/speech, and
self-help. The specific level of delay
must be:

(A) For children from birth to 36 months
of age documented by scores 1 'A stan-
dard deviations below the mean on
standardized tests in at least one of the
above areas of development or by a 20
percent delay on assessment instru-
ments that yield scores in months; and

(B) For children from 36 to 60 months
of age documented by test performance
two standardized deviations below the
mean on standardized tests in one area
of development or by performance that
is one standard deviation below the
norm in two areas of development. Or,
it may be documented by a 25 percent
delay in two areas on assessment in-
struments that yield scores in months.

(21) "DFS" means the Division of Facility
Services, 701 Barbour Drive, Raleigh,
N.C. 27603.

(22) "Direct care staff means an individual
who provides care, treatment or
rehabilitation/habilitation services to
clients on a continuous and regularly
scheduled basis.

(23) "Dispensing medication" means pre-
paring and packaging a prescription
drug or device in a container and label-
ing the container with information re-
quired by state and federal law. Filling
or refilling drug containers with pre-
scription drugs for subsequent use by a
client is "dispensing". Providing quan-
tities of unit dose prescription drugs for
subsequent administration is "dispens-
mg".

(24) "DMH/MR/SAS" means the Division
of Mental Health, Mental Retardation
and Substance Abuse Sendees, 325 N.
Salisbury Street, Raleigh, N.C. 27611.

(25) "Documentation" means provision of
written, dated and authenticated evi-
dence of the delivery of client services
or compliance with statutes or rules,

NORTH CAROLINA REGISTER

975

nnngBgjigBBBDI^Hn^^BnHB

PROPOSED RULES

e.g., entries in the client record, policies
and procedures, minutes of meetings,
memoranda, reports, schedules, notices
and announcements.

(26) "Drug abuse" means psychoactive
substance abuse which is a residual cat-
egory for noting maladaptive patterns
of psychoactive substance use that have
never met the criteria for dependence
for that particular class of substance
(criteria delineated in DSM-III-R pub-
lished by the American Psychiatric As-
sociation, 1400 K Street, N.W.,
Washington, D.C. 20005 at a cost of
twenty-nine dollars and ninety-five
cents ($29.95) for the soft cover edition
and thirty-nine dollars and ninety-five
cents ($39.95) for the hard cover edi-
tion.)

(27) "Drug dependence" means psychoac-
tive substance dependence which is a
cluster of cognitive behavioral, and
physiologic symptoms that indicate that
a person has impaired control of psy-
choactive substance use and continues
use of the substance despite adverse
consequences (criteria delineated in
DSM-III-R published by the American
Psychiatric Association, 1400 K Street,
N.W., Washington, D.C. 20005 at a
cost of twenty-nine dollars and ninety-
five cents ($29.95) for the soft cover
edition and thirty-nine dollars and ni-
nety-five cents ($39.95) for the hard
cover edition.)

(28) "DWI" means driving while impaired,
as defined m G.S. 20-138. 1.

(29) "DWI substance abuse assessment"
means a service provided to persons
charged with or convicted of DWI to
determine the presence of chemical de-
pendency. The "assessment" involves
a face-to-face interview with a sub-
stance abuse professional.

(30) "Evaluation" means an assessment
service which identifies the nature and
extent of an individual's problem
through a systematic appraisal of men-
tal, physical, behavioral, functional so-
cial, economic and/or intellectual
resources of the individual, for the pur-
poses of diagnosis and determination
of the disability of the individual and
the most appropriate plan, if any, for
services.

(31 ) "First aid" means emergency treatment
for injur)' or sudden illness before regu-
lar medical care is available. First aid

includes artificial respiration, the Heim-
lich maneuver, or other Red Cross first
aid techniques for relieving airway ob-
struction, care of wounds and burns,
and temporary administering of splints.

(32) "Governing body" means those per-
sons who by law, charter, articles of in-
corporation, partnership agreement, or
other legally recognized manner have
full legal authority for the overall oper-
ation of the facility.

(33) "Hearing" means a contested case
hearing under G.S. 150B, Article 3.

(34) "Hearing officer" means a hearing of-
ficer appointed by the secretary or an
Office of Administrative Hearings hear-
ing officer.

(35) "High risk children" means those from
birth to 36 months of age who:

(A) have a diagnosed physical or mental
condition which has a high probability
of resulting in developmental delay or
atypical development;

(B) have significantly atypical patterns
of development (perceptual, sensory,
physical, behavioral, motor anomalies)
that have a high probability of resulting
in developmental delay or atypical de-
velopment; or

(C) have responded well to intervention
efforts but for whom there is evidenced
that their continued developmental
progress cannot be assured without
continued intervention.

(36) "Hours of operation" means an indi-
cation of the minimum operational
hours that a service is expected to be
available to clients, but not prohibiting
the typical closing of a service to ac-
commodate holidays, vacations, staff
development activities and weather and
facility-related conditions but taking
into consideration the type of service
beine provided.

(37) "ICF/MR" (Intermediate Care
Facility, Mentally Retarded) means a
facility certified as having met federal
ICF/MR requirements and which pro-
vides 24-hour personal care, habili-
tation, developmental and supportive
services to persons with mental retar-
dation or related conditions.

(38) "Incident" means any happening
which is not consistent with the routine
operation of the facility or the routine
care of a client and that is likely to lead
to adverse effects upon a client.

9 ~6

NORTH CAROLINA REGISTER

PROPOSED RULES

(39) "Individual goal plan" (for clients with
mental retardation or other develop-
mental disabilities) means a written
plan which includes measurable, date-
specific, short-range objectives which
are assessed and developed or restated
based on the strengths and needs of the
client and which identifies specific staff
responsibilities and relates to the annual
individual program plan.

(40) "Individual program plan" (for clients
with mental retardation or other devel-
opmental disabilities') which is some-
times referred to as an "habilitation
plan," means a written plan which in-
cludes long-range objectives for the cli-
ent based on evaluations, observations
and other client assessment data and
which is implemented following admis-
sion of the client, and assessed and re-
developed at least annually from the
date of placement The individual pro-
gram plan includes a written summary'
of the client's progress regarding previ-
ous program plans.

(41) "Individual treatment plan" (for men-
tal health substance abuse clients) me-
ans a plan of treatment for the client.
The plan contains time-specific short
and long term goals and strategies for
implementing the goals, and identifies
direct care staff responsible for the pro-
vision of treatment and rehabilitation
services to the client. The individual
treatment plan is synonymous with the
individual service plan.

(42) "Infant" means an individual between
birth and two years of age.

(43) "Isolation time-out" means the re-
moval of a client from positive re-
inforcement to a separate room from
which exit is barred but which is not
locked and where there is continuous
supervision by staff.

(44) "Legend drug" means a drug that can-
not be dispensed without a prescription.

(45) "License" means a permit to operate
a facility which is issued by DPS under
G.S. 122C, Article 2. A regular license
may be issued for a period not to exceed
two years from the date of issue to a
facility which is in compliance with all
applicable statutes and rules. A provi-
sional license may be issued not to ex-
ceed six months to a person who is
temporarily unable to comply with a
rule or rules.

(46) "Medication" means a substance re-
cognized in the official "United States
Pharmacopoeia" or "National Formu-
lary" intended for use in the diagnosis,
mitigation, treatment or prevention of
disease.

(47) "Minor client" means a person under
1 8 years of age who has not been mar-
ried or who has not been emancipated
by a decree issued by a court of com-
petent jurisdiction or is not a member
of the armed forces.

(48) "Neighborhood" - See "residential
setting".

(49) "Nurse" means a person licensed to
practice in the State of North Carolina
either as a registered nurse or as a li-
censed practical nurse.

(50) "Operator" means the designated agent
of the governing body who is responsi-
ble for the management of a licensable
facility.

(51) "Parent" means the biological or
adoptive mother or father of a minor
client.

(52) "Physical examination" means the
procedures used by a physician or phy-
sician extender on behalf of a physician
to determine the physiological and ana-
tomical condition of the client. Phys-
ical examination also means medical
examination.

(53) "Physician extender" means a nurse
practitioner or a physician assistant ap-
proved to perform medical acts by the
Board of Medical Examiners of the
State of North Carolina.

(54) "Private facility" means a facility not
operated by or under contract with an
area program.

(55) "Program evaluation" means the sys-
tematic documented assessment of pro-
gram activity to determine the
effectiveness, efficiency and scope of the
system under investigation, to define its
strengths and weaknesses and thereby
to provide a basis for informed deci-
sion-making.

(56) "Provider" means an individual,
agency or organization that provides
mental health, mental retardation or
substance abuse services.

(57) "Psychiatric nurse" means an individ-
ual who is licensed to practice as a reg-
istered nurse in the State of North
Carolina and by the North Carolina
Board of Nursing and who is a graduate
of an accredited master's level program

NORTH CAROLINA REGISTER

977

PROPOSED RULES

in psychiatric mental health nursing
with two years of experience, or has a
master's degree in behavioral science
with two years of supervised clinical
experience, or has four years of experi-
ence in psychiatric mental health nurs-
ing.

(58) "Psychiatric social worker" means an
individual who holds a master's degree
in social work from an accredited
school of social work and has two years
of clinical social work experience.

(59) "Psychiatrist" means an individual
who is licensed to practice medicine in
the State of North Carolina and who
has completed an accredited training
program in psychiatry.

(60) "Psychotherapy" means a form of
treatment of mental illness or emotional
disorders which is based primarily upon
verbal or non-verbal communication
with the patient. Treatment is provided
by a trained professional for the pur-
pose of removing or modifying existing
symptoms, of attenuating or reversing
disturbed patterns of behavior, and of
promoting positive personality growth
and development.

(61) "Psychotropic medication" means
medication with the primary function
of treating mental illness, personality or
behavior disorders. These medications
include, but are not limited to, antipsy-
chotics, antidepressants, neuroleptics,
lithium and minor tranquilizers.

(62) "Qualified alcoholism professional"
means an individual who is certified by
the North Carolina Substance Abuse
Professional Certification Board or who
is a graduate of a college or university
with a baccalaureate or advanced degree
in a human service related field with
documentation of at least two years of
supervised experience in the profession
of alcoholism counseling.

(63) "Qualified developmental disabilities
professional" means an individual
holding at least a baccalaureate degree
in a discipline related to developmental
disabilities, and at least two years of
supervised habilitative experience in
working with the mentally retarded or
otherwise developmental!}' disabled or
holding a baccalaureate degree in a field
other than one related to developmental
disabilities and having three years of
supervised experience in working with

the mentally retarded or otherwise de-
vclopmentally disabled.

(64) "Qualified drug abuse professional"
means an individual who is certified by
the North Carolina Substance Abuse
Professional Certification Board or who
is a graduate of a college or university
with a baccalaureate or advanced degree
in a human service related field with
documentation of at least two years of
supervised experience in the profession
of drug abuse counseling.

(65) "Qualified mental health professional"
means any one of the following: psy-
chiatrist, psychiatric nurse, practicing
psychologist, psychiatric social worker,
an individual with at least a master's
degree in a related human service field
and two years of supervised clinical ex-
perience in mental health services or an
individual with a baccalaureate degree
in a related human service field and four
years of supervised clinical expenence
in mental health services.

(66) "Qualified nutritionist" means an in-
dividual who has a Master's degree in
nutrition, nutrition education or public
health nutrition and who may or may
not be a registered dietitian.

(67) "Qualified substance abuse profes-
sional" means an individual who is:

(A) certified by the North Carolina Sub-
stance Abuse Professional Certification
Board; or

(B) a graduate of a college or university
with a baccalaureate or advanced degree
in a human service related field with
documentation of at least two years of
supervised experience in the profession
of alcoholism and drug abuse coun-
seling and at least 80 percent of whose
time is in the profession of alcoholism
and drug abuse counseling.

(68) "Registered dietitian" means an indi-
vidual who has successfully completed
a national examination for the Com-
mission on Dietetic Registration and
maintains registration with that com-
mission through approved continuing
education activities events.

(69) "Rehabilitation" means training, care
and specialized therapies undertaken to
assist a client to reacquire or maximize
lost skills and or functional abilities.

(70) "Research" means inquiry involving a
trial or special observation made under
conditions determined by the investi-
gator to confirm or disprove an hy-

9 "8

NORTH CAROLINA REGISTER

PROPOSED RULES

pothcsis, or to explicate some principle
or effect. The term "research" as used
in this document means research which
is not standard or conventional; in-
volves a trial or special observation
which would place the subject at risk
for injury (physical, psychological or
social injury), or increase the chance of
disclosure of treatment; utilizes ele-
ments or steps not ordinarily employed
by qualified professionals treating simi-
lar disorders of this population; or is a
type of procedure that serves the pur-
pose of the research only and does not
include treatment designed primarily to
benefit the individual.

(71) "Residential setting" means a living
area or zone in which the primary pur-
pose is family residential living and
which may be located in an area zoned
either urban residential or rural.

(72) "Respite discharge" means that point
in time when no additional incidents of
respite service are anticipated and the
client record is closed.

(73) "Respite episode" means an uninter-
rupted period of time during which a
client receives respite services. The ep-
isode may vary in length from one hour
or less to one month.

(74) "Restraint" means the limitation of a
client's freedom of movement by:

(A) physical hold for the purpose of
subduing the client;

(B) "mechanical restraint" which is the
use of mechanical devices for the pur-
pose of controlling behavior including,
but not limited to, cuffs, ankle straps,
sheets, or restraining shirts; or

(C) "protective restraint" which is the use
of protective devices to provide support
and safety for weak and feeble clients,
or to prevent medically ill clients from
removing intravenous tubes, indwelling
catheters, cardiac monitor electrodes,
etc. Such devices may include posey
vests, geri-chairs, table top chairs or soft
ties.

(75) "Restrictive facility" means a facility
which employs the use of mechanical
restraint or seclusion in order to restrict
a client's freedom of movement. A ju-
dicial determination as specified in G.S.
122C-223 and G.S. 122C-232 is re-
quired for minor clients and incompe-
tent adult clients who are admitted to a
restrictive facility.

(76) "Screening" means an assessment ser-
vice which provides for a brief face-to-
face appraisal of each individual who
presents himself/herself for services, in
order to determine the nature of the in-
dividual's problem and his/her need for
services. Screening may also include
referral to other appropriate community
resources.

(77) "Seclusion" means isolating a client in
a separate locked room for the purpose
of controlling a client's behavior.

(78) "Secretary'" means the Secretary of the
Department of Human Resources or
designee.

(79) "Severely physically disabled person"
means for the purpose of ADAP (Adult
Developmental Activity Program) a
person:

(A) who has a severe physical disability
which seriously limits his functional ca-
pabilities (mobility, communication,
self-care, self-direction, work tolerance
or work skills);

(B) who has one or more physical disa-
bilities resulting from amputation, ar-
thritis, blindness, cancer, cerebral palsy,
cystic fibrosis, deafness, heart disease,
hemiplegia, hemophilia, respiratory' or
pulmonary dysfunction, multiple scler-
osis, muscular distrophy, musculosk-
eletal disorders, neurological disorders
(including stroke and epilepsy), para-
plegia, quadriplegia, and other spinal
cord conditions, sickle cell anemia and
end stage renal disease; and

(C) whose habilitation or rehabilitation
can be expected to require multiple ha-
bilitation or rehabilitation services over
an extended period of time.

(80) "Sheltered employment" means a fa-
cility's provision of work and work
training by:

(A) subcontracting from industries in the
community and bringing work to the
facility to be performed; or

(B) manufacturing its own products in
the facility. Clients served in a sheltered
employment model are those who con-
sistently achieve earning levels exceed-
ing one-half of the minimum wage but
who are not ready for independent em-
ployment activities.

(81) "Staff member" means any individual
who is employed by the facility.

(82) "Substantially mentally retarded per-
son" means for the purpose of ADAP
a person who is mentally retarded to the

NORTH CAROLINA REGISTER

979

PROPOSED RULES

degree of seriously limiting his func-
tional capabilities, whose habilitation
or rehabilitation can be expected to ex-
tend over a period of time, and includ-
ing:

(A) moderately mentally retarded per-
sons;

(B) severely mentally retarded persons;

(D) mentally retarded persons with a
handicapping condition so severe as to
lack the potential for employment at
this time, either in a sheltered or com-
petitive setting. In addition, such indi-
viduals must have a deficit in self-help,
communication, socialization or occu-
pational skills and be recommended by
the vocational rehabilitation counselor
for consideration of placement in an
ADAP.

(83) "Support services" means services
provided to enhance an individual's
progress in his primary
treatment habilitation program.

(84) "Supported employment" means a
day night service which involves paid
work in a job which would otherwise
be done by a non-disabled worker.
Supported employment is carried out in
an integrated work site where a small
number of people with disabilities work
together and where the work site is not
immediately adjacent to another pro-
gram serving persons with disabilities.
It includes intensive involvement of
staff working with the uidividuals in
these integrated settings.

(85) "Treatment" means the process of
providing for the physical, emotional,
psychological and social needs of clients
through services.

(86) "Twenty-four hour facility m which
medical care is an integral component"
means a facility in which:

(A) the medication needs of clients may
be evaluated, medication prescribed and
laboratory tests ordered to assist in the
diagnosis, treatment and/or monitoring
of problems associated with the mental
health, mental retardation or other de-
velopmental disabilities or substance
abuse disorder(s) of clients; and

(B) proper referral of the client is made
to medical specialists when needed.

Statutory Authority (7.5. 122C-3: I22C-26;
143B-147.

SECTION .0200 - LICENSURE

.0201 LICENSE REQUIRED

No person shall establish, maintain or operate
a licensable facility for the mentally ill, men-
tally retarded or otherwise developmentally
disabled or substance abusers without first ob-
taining a license from the Division of Facility
Services, 701 Barbour Drive, Raleieh, N.C.
27603.

Statutory Authority G.S. I22C-3(28);
122C-23(a); 122C-26; 143B-147.

.0202 EXCLLSIONS FROM LICENSURE

Those facilities and persons delineated in G.S.
122C-22(a) shall not be subject to licensure
under the provisions of G.S. 122C, Article 2.

Statutory Authority
122C-26; 143B-I47.

G.S. l22C-22(a);

.0203 APPLICATION FOR LICENSE

(a) Any person as defined in G.S. 122C-3(28)
intending to establish, maintain or operate a
licensable facility for the mentally ill, mentally
retarded or otherwise developmentally disabled
or substance abusers shall apply to DFS for a
license.

(b) The person shall submit a completed li-
censure application to the Licensure Section
of DFS at least 30 days prior to the planned
date of operation of the facility. In emergency
situations involving therapeutic homes oper-
ated by either area programs or their contract
agencies, application and processing time may
be accelerated to seven days or less.

(d) In addition, the person shall notify DFS
of any change in ownership, construction or
other alteration to the physical plant, (such as
relocation of walls, doors or change in fin-
ishes), or addition or change of services, and
submit a new application upon request.

Statutory Authority G.S. 122C-3(28);
122C-23; 122C-26; I43B-147.

.0204 CONTENT OF LICENSE APPLICATION
FORMS

The content of license application forms shall
include the following:

(1) name of the person as defined in G.S.
122C-3(28) submitting the application;

(2) business name used by the facility, if ap-
plicable;

980

NORTH CAROLINA REGISTER

PROPOSED RULES

(3) street location of the facility (include
multiple addresses if more than one
building at one site);

(4) name and title of the operator of the fa-
cility;

(5) type of facility; services offered; ages
served; and, when applicable, capacity and
a floor plan showing bed locations and
room numbers, any unlocked time-out
rooms, and any locked interior or exterior
doors which would prohibit free egress of
clients; and

(6) indication of whether the facility is oper-
ated b> an area program, under contract
with an area program or is a private facil-
ity.

Statutory Authority G.S. 122C-3(28);
122C-23(c); 122C-27.

.0205 TYPES OF LICENSE

Each facility shall have either a provisional
or a regular license.

Statutory Authority G.S. 122C-23; I22C-26;
1 43 B- 1 47.

.0206 PROVISIONAL LICENSE

(a) A provisional license may be granted
when a facility is found to be temporarily un-
able to comply with a rule or rules and there
is no immediate threat to the health, safety or
welfare of the individuals served.

(b) Provisional licensure shall not exceed six
months.

(c) During the provisional licensure period,
the person shall submit a statement for review
and approval by DPS describing the corrective
action(s) taken.

(d) When all out-of-compliance issues are
fully resolved and documented, a regular li-
cense shall be issued.

(e) A facility shall not receive two consec-
utive provisional licenses.

Statutory Authority
I22C-26; I43B-I47. '

G.S. 122C-23(e);

.0207 REGULAR LICENSE

(a) A regular license shall be issued only
when a facility is in compliance with all appli-
cable rules and statutes.

(b) A regular license shall be valid for a pe-
riod not to exceed two years from the date on
which the license is issued.

Statutory Authority
I43B-147.

G.S. 122C-23; I22C-26;

.0208 ISSUANCE OF LICENSE

(a) In accordance with the provisions of
Rules .0206 and .0207 of this Section, DFS
shall issue a license after completion of the
following:

(1) DFS determines that the applicant is in
compliance with all Certificate of Need
rules as codified in 10 NCAC 3R .2600
when applicable;

(2) DPS approves the architectural draw-
ings, physical plant changes, con-
struction and room usage of the facility;

(3) DPS determines that the applicant is in
compliance with all fire safety, sanita-
tion and waste disposal requirements;

(4) DPS conducts an on-site inspection;
and

(5) DPS reviews the facility to determine
compliance with licensure rules and ap-
plicable statutes.

(b) No license shall be issued when DFS
determines that there is an immediate threat to
the health, safety or welfare of an individual in
the facility.

(c) A license shall be issued to the applicant
for the specific premises and types of approved
licensed services indicated on the application.

(d) DPS shall issue a corrected license in
cases of administrative or clerical error by the
applicant or DPS. Such corrected license shall
not be considered amendment of a license.

Statutory Authority G.S. I22C-23; 122C-26;
122C-27(5): 143B-147.

.0209 POSTING OF LICENSE

(a) For all faculties providing periodic and
day services, the license shall be posted-in a
prominent location and accessible to public
view within the licensed premises.

(b) For 24-hour facilities for the mentally ill
or mentally retarded/developmcntally disabled,
the license shall be readily available for review
upon request.

(c) For 24-hour facilities for substance
abusers, the license shall be posted in a prom-
inent location and accessible to public view
within the licensed premises.

(d) Additional copies of the license shall be
available or posted in accordance with (a), (b)
and (c) of this Rule when there are multiple
buildings at the licensed location.

Statutory Authority G.S. I22C-26; I43B-147.

.0210 LICENSE RENEWAL

NORTH CAROLINA REGISTER

9S1

PROPOSED RULES

(a) Renewal of regular licenses shall be as
specified in G.S. 122C-23(e).

(b) Poor to license renewal, the licensee shall
submit to DPS the following information:

( 1 ) application for license renewal;

(2) local fire and sanitation inspection re-
ports which shall be submitted on an
annual basis; and

(3) a brief description of any changes in the
facility since the most recent initial or
renewal application form was com-
pleted.

(c) Failure of the licensee to supply the re-
quired information may result in revocation of
the license to operate the facility.

(d) DFS shall obtain any other information
necessary for proper administration and en-
forcement of all applicable licensure require-
ments.

sure requirement shall not be announced more
than 24 hours in advance and may be con-
ducted at any time of the day without advance
notice when warranted.

Statutory Authority
122C-26; 143B-147. '

G.S. I22C-23(e);

.021 1 SEPARATE LICENSE

(a) A single license shall be issued to each
facility with each separate and distinct service
listed individually on the license.

(b) Separate licenses shall be required for fa-
cilities which are maintained on separate sites
even though they are under the same owner-
ship or management.

Statutory Authority G.S. l22C-23(b);

122C-26; USB- 147. '

.0212 LICENSED CAPACITY

A facility shall accept no more clients than
the number for which it is licensed.

Statutory Authority G.S. 122C-26; 143B-147.

.02U LICENSURE INSPECTION

(a) DFS shall inspect all facilities prior to li-
censure. If a facility is provisionally licensed,
DFS shall re-inspect the facility prior to expi-
ration of the provisional license to assure cor-
rection of findings of non-compliance. Once
a regular license has been issued to a facility,
the facility shall receive an on-site licensure
inspection at least once every two years, and
more frequently if necessary, to determine
compliance with all applicable licensure re-
quirements.

(b) All facility inspections shall be conducted
in accordance with the provisions of G.S.
122C-25.

Statutory
122C-27(4).

Authority G.S. 122C-2S(c);

.0214 CLOSURE OF A FACILITY OR

DISCONTINUATION OF A SERVICE

When a licensee plans to close a facility or
discontinue a service, written notice at least 30
days in advance shall be provided to DFS.
This notice shall address continuity of sendees
to clients in the facility.

Statutory Authority G.S. 122C-26; 143B-I47.

.0215 DENIAL: SUSPENSION: REVOCATION
OR AMENDMENT OF LICENSE

(a) DFS may deny, revoke, suspend or
amend a License when there is substantial fail-
ure to meet any of the requirements of G.S.
122C, Article 2 or other applicable statutes or
any applicable rule adopted to meet the pro-
visions of these statutes.

(b) When an application for initial license is
denied, DFS shall give the applicant written
notice of intent to deny the license and the
reasons for the denial. The written notice shall
also advise the applicant of the right to request
a contested case hearing according to the pro-
cedures in Rule .0219 of this Section. Despite
any appeal action, the facility shall not operate
until a decision is made to issue a license.

(c) Except for summary suspensions which
are governed by (d) of this Rule, DFS shall
give the licensee written notice of intent to re-
voke, suspend or amend the license; the rea-
sons for the proposed action; and the right to
request a contested case hearing according to
the procedures in Rule .0219 of this Section.
If the licensee does not request a contested case
hearing within the prescribed time, DFS may
revoke, suspend or amend the license imme-
diately. If the licensee petitions for a hearing,
the existing license does not expire and no ac-
tion may be taken until the last day for apply-
ing for judicial review of the order under G.S.
150B-3and 150B-45.

(d) Should findings show that public health,
safety or welfare considerations require emer-
gency action, DFS shall issue an order of
summary suspension and include the findings
in its order. At the time the order is issued,
DFS shall also petition the Office of Adminis-
trative Hearings for a contested case hearing in
the matter according to G.S. 150B-23(a). The

982

NORTH CAROLINA REGISTER

PROPOSED RULES

order shall suspend only those privileges or
services as necessary' to protect the public in-
terest. Examples of specific services or privi-
leges include suspension of admissions,
removal of all clients or a certain category of
at-risk clients from the facility, suspension of
on-site laboratory services, and suspension of
privileges to use a certain building or portion
of a building. An order of summary suspen-
sion shall be effective on the date specified in
the order or on sendee of the order at the last
known address of the licensee, whichever is la-
ter, and shall be in full force and effect during
any contested case hearing as provided for in
G.S. 150B-3(c). The order may also set a date
by which the licensee shall remove the cause
for the emergency action. If the order for
summary suspension includes a date by which
the licensee shall remove the cause for emer-
gency action and the licensee fails to meet that
deadline, DFS may take action to revoke or
amend the facility's license according to (c) of
this Rule.

(e) When all appeal opportunities have been
exhausted or the time for such appeals has ex-
pired and a final decision is made to deny, re-
voke or amend a license, an applicant or
licensee may not re-apply for the licensed ser-
vice or privilege until at least six months fol-
lowing the date of the fmal decision, and shall
meet all requirements of initial licensure.

Statutory Authority G.S. 122C-24; 122C-26;
122C-27; 143B-147; I50B-3; 150B-12(a);
150B-23(a); 150B-45.

.0216 WAIVER OF LICENSURE Rl LES

(a) The Director of DFS may waive any li-
censure rule contained in 10 NCAC 14K
through 140 provided the issuance of the
waiver is for good cause and will not affect the
health, safety or welfare of individuals within
the facility.

(b) Requests for waivers shall be sent to the
Director of DFS, 701 Barbour Drive, Raleigh,
North Carolina 27603.

( 1 ) the name, address and telephone num-
ber of the requester;

(2) the name, address and telephone num-
ber of the facility for which the waiver
is requested;

(3) the rule number and title of the rule(s)
or requirements for which waiver is be-
ing sought;

(4) a statement of facts necessitating the
request with supporting documents as
appropriate; and

(5) documentation of area board approval,
if and when requests are from area pro-
grams and contract agencies of area
programs, or documentation of govern-
ing body approval when requests are
from private facilities not contracting
with area programs.

(d) Prior to issuing a decision on the waiver
request, the Director of DFS shall consult with
the Director of DMH/MR/SAS; and may also
request additional information or consult with
additional parties as appropriate.

(e) A decision regarding the waiver request
shall be issued in writing by the Director of
DFS and shall state the reasons why the re-
quest was granted or denied and any special
conditions relating to the request. A copy of
the decision shall be sent to the Director of
DMH/MR/SAS. If the rule(s) in question was
adopted by the commission, the Director of
DMH/MR/SAS shall send a copy of the deci-
sion to all commission members.

(f) The decision of the Director of DFS re-
garding a waiver request may be appealed to
the commission through the contested case
process set out in 10 NCAC 14B .0300. The
appeal shall be in writing and shall be filed
within 30 days of receipt of the decision re-
garding the waiver request.

(g) Waivers shall not exceed the expiration
date of the current license and shall be subject
to renewal consideration upon the request of
the licensee.

Statutory Authority G.S. I22C-23(f);
122C-26(4); I22C-27(9); 143B-147.

.0217 DECLARATORY RE LINGS

(a) The commission shall have the authority
to issue all declaratory rulings arising under
G.S. 122C, Article 2, and 10 NCAC 14K
through 140.

(b) Requests for declaratory rulings shall be
initiated by the filing of a petition with the
commission at 325 N. Salisbury Street, Ra-
leigh, N.C. 27611 in care of the division direc-
tor. The petition shall contain the following
information:

(1) the name, address, and telephone num-
ber of the petitioner;

(2) the statute(s) or rule(s) to which the
petition relates;

(3) a concise statement of the facts giving
rise to the petition and the impact or
potential impact of the statute(s) or

NORTH CAROLINA REGISTER

9S3

PROPOSED RULES

rule(s) on the petitioner, with support-
ing documentation as appropriate;

(4) a specific request for a declaratory' rul-
ing; and

(5) the consequences of a failure to issue the
declaratory' ruling.

(c) The declaratory ruling process may con-
sist of written submissions, hearings or other
procedures deemed appropriate by the chair-
man of the commission or designee. The
chairman or designee may notify persons who
might be affected by the issuance of the de-
claratory ruling of any opportunity that exists
to submit written statements or make oral
presentations at a hearing.

(d) A record of all declaratory ruling pro-
ceedings shall be maintained by the agency le-
gal specialist of the division and shall be
available for public inspection during regular
business hours. The record shall contain the
following information:

( 1 ) the petition requesting the declaratory
ruling;

(2) all of the memoranda and written sub-
missions relating to the declaratory rul-
ing:

(3) a recording or transcript of any hearing
that is held pursuant to the petition for
the declaratory ruling; and

(4) the declaratory ruling or a statement of
the reasons for refusal to issue the de-
claratory ruling.

(e) The commission may decline to issue a
declaratory ruling if it has good cause to be-
lieve that the issuance of a declaratory rulmg
would be undesirable. Good cause for declin-
ing to issue a declaratory ruling may include
the following instances:

( 1 ) the petition for the declaratory ruling
addresses a situation or set of facts si-
milar to one that was considered during
the rule-making process, unless the
petitioner can show a change in cir-
cumstances sufficient to warrant issu-
ance of the declaratory ruling; or

(2) the facts contained in the petition reveal
the existence of a factual dispute, and a
contested case would be more appro-
priate.

(f) The commission shall issue the declara-
tory ruling or notify the petitioner of its refusal
to issue the declaratory ruling and the reasons
for that refusal within 60 days of the receipt uf
the petition by the commission.

Statutory Authority G.S. 122C-26; 143B-10:
143B-147: I50B-/7.

.0218 CONTESTED CASES

(aj Appeals Procedure.

(1) Except for contested cases regarding
summary suspensions which shall be
initiated in accordance with Rule
.0215(d) of this Section, a licensee or an
applicant for a license who has been
notified by DFS of its intent to take
adverse action on a license or applica-
tion for license may petition for a hear-
ing prior to the issuance of the final
decision on the adverse action in ac-
cordance with G.S. 150B-3.

(2) The petition shall be filed with the Of-
fice of Administrative Hearings within
20 days after receipt of the notification
concerning the adverse action.

(3) In accordance with G.S. 1A-1. Rule
4(j)4, a copy of the petition shall be
served on a registered agent for service
of process for the department. A list
of registered agents may be obtained
from the Office of I egislative and Legal
Affairs, Department of Human Re-
sources, 325 North Salisbury Street,
Raleigh, North Carolina 2761 1.

(b) Recommended Decision.

( 1 ) The administrative law judge m the Of-
fice of Administrative Hearings shall is-
sue a recommended decision on the
contested case in accordance with G.S.
150B-34.

(2) Prior to the issuing of the recommended
decision, the chairman of the commis-
sion or members designated by the
chairman or any party to the contested
case may submit written arguments to
the administrative law judge. A copy
of these arguments shall be included in
the official record.

(c) Final Decision. The secretary shall make
the final agency decision in contested cases
processed under this Rule in accordance with
G.S. 150B-36.

Statutory Authority G.S. 122C-24; J22C-26;
MSB- 147: 150B-3; 150B, Article 3.

SECTION .0300 - FACILITY AND PROGRAM
MANAGEMENT

.0301 GOVERNING BODY

The governing body shall establish policies,
rules and a table of organization to guide re-
lationships between itself and the operator and
staff. Written policies regarding authority and
responsibility shall be required.

984

NORTH CAROLINA REGISTER

PROPOSED RULES

Statutory Authority G.S. I22C-26; 143B-147.

.0302 OPERATOR

(a) The governing body shall designate in
writing an operator to be responsible for the
management of the facility. An individual
shall not serve concurrently as the operator of
more than one licensed facility except under
the following conditions:

(1) the facilities under the management au-
thority of the operator shall only be
those which are owned or leased by the
same governing body for whom the
operator is functioning as a full-time
employee; and

(2) when multiple facilities are operated
under the management authority of a
single operator, all such facilities shall
be within a 50-mile radius of the oper-
ator's primary work location.

(b) A 24-hour facility licensed for more than
six clients shall not be included under the
shared management authority authorized in
this Rule.

( 1 ) the name of the temporary replacement
within seven days of such vacancy; and

(2) the name of the permanent replacement
within seven days of such designation.

Statutory Authority G.S. 122C-26; MSB- 147.

.0303 DISCLOSURE OF CONVICTIONS

/Ml facilities shall require that applicants for
employment disclose any conviction of an of-
fense against the law other than a minor traffic
violation.

Statutory? Authority G.S. I22C-26; 143B-147.

.0304 PROFESSIONAL STAFF
QUALIFICATIONS

The professional staff of a facility shall be
currently licensed, registered or certified, as
appropriate, in accordance with applicable
N.C. State Laws and shall meet the individual
qualifications established by the governing
body of the facility for each position.

Statutory Authority G.S. 122C-26; 143B-147.

.0305 PERSONNEL RECORD

A separate personnel record shall be main-
tained on each individual employed indicating
the training, experience and other qualifica-
tions for the position, including verification of

this information. In cases where professional
licensure, registration or certification is re-
quired, annual documentation shall be in-
cluded in the individual's personnel record.

Statutory Authority G.S. I22C-26; I43B-147.

.0306 JOB DESCRIPTION

Each employee shall be furnished a copy of
his/her job description.

Statutory Authority G.S. 122C-26; 143B-I47.

.0307 EMPLOYEE EDUCATION AND
TRAINING

(a) Each facility shall provide or secure ori-
entation programs and annual continuing edu-
cation and training for employees to enhance
their competencies and knowledge needed to
administer, manage and deliver quality ser-
vices.

(b) Each facility shall assure the maintenance
of an ongoing record of all education and
training activities provided or secured for em-
ployees.

Statutory' Authority G.S. 122C-26; 143B-147.

.0308 ORGANIZATION OF POLICIES AND
PROCEDURES

Each facility shall maintain its policies and
procedures at an accessible location in an in-
dexed, organized manner.

Statutory Authority G.S. 122C-26; 143B-147.

.0309 CLIENT FEE FOR SERVICE

The governing body shall develop written
policies for client fee assessment and collection
practices.

Statutory Authority G.S. 122C-26; 122C-I46;
143B-147.

.0310 INFORMATION FOR CLIENTS

The facility shall make available information
regarding rates, services, client rights, and other
client-specific policies and rules to each client,
potential client and legally responsible person.

Statutory Authority G.S. 122C-26; I22C-146;
143B-147.

.031 1 MANAGING CLIENTS' FUNDS IN
RESIDENTIAL FACILITIES

(a) Each governing body shall develop and
implement written policies regarding the man-
agement of funds of clients in residential facili-
ties.

NORTH CAROLINA REGISTER

985

PROPOSED RULES

(b) Fach client shall manage his her own
funds whenever possible.

(c) The provider shall manage client funds
only upon written request by the client or le-
gally responsible person and shall provide the
client at least monthly an accurate accounting
of monies received and disbursed and the bal-
ance on hand.

Statutory Authority (7.5. I22C-26; 143B-147.

.0312 SCREENING

(a) The governing body shall develop written
policies establishing a systematic means of
screening each individual s need for services or
whether he/she shall be referred to another
service.

(b) The policy shall designate who is deemed
qualified based on education and experience to
make screening determinations.

(c) When possible and appropriate, and with
client consent, family members or other per-
sons significantly involved with the client's life
shall be encouraged to participate in the
screening of the client.

(d) Screening shall include:

( 1 ) assessment of the individual's presenting
problem(s) in relation to the services
offered by the facility; and

(2) disposition (referrals and or recommen-
dations).

Statutory Authority G.S. 122C-26; 143B-147.

.0313 ADMISSION

(a) The governing body shall develop written
admission policies and procedures for each fa-
cility which shall include at least the following:

(1) designation of staff who are deemed
qualified to admit clients;

(2) admission criteria;

(3) procedures for compliance with Article
5 of Chapter 122C of the N.C. General
Statutes, Parts 2, 3, 4. 5, 7 and 8 as ap-
plicable; and

(4) in residential facilities, except for respite
services, requirements for an agreement
between the facility and the client or
his her legally responsible person which
shall delineate the responsibilities of
both parties for the provision of med-
ical and dental services, education and
other needs.

(b) For voluntary admissions each applica-
tion for admission and consent for
treatment habilitation shall be signed by the
client or legally responsible person upon ad-
mission to a facility. For involuntarv admis-

sions, documentation of the commitment
process shall be maintained by the facility.

Statutory^ Authority G.S. 122C-26; 143B-147.

.0314 ASSESSMENT

(a) The governing body shall develop written
policies and procedures relative to assessment
requirements for individuals served by the fa-
cility.

(b) Mental Health Facilities:

(1) Inpatient psychiatric; residential acute
treatment; partial hospitalization; resi-
dential treatment for children and
youth; and day treatment facilities for
children and youth shall complete:

(A) An individual admission assessment
within 24 hours of admission, mental
status, admitting diagnosis, and deter-
mination of need for additional infor-
mation, diagnostic tests or evaluations;

(B) A preliminary - individual treatment
plan within 72 hours of admission; and

(C) Current social, medical, psychiatric,
educational and vocational histories and
assessments such as substance abuse,
developmental, legal, nutritional, etc.,
completed or obtained within 30 days
if appropriate.

(2) Psychosocial rehabilitation programs
and group homes for adult and elderly
clients shall complete an admission note
within 24 hours for each client who is
admitted to the facility. The admission
note shall include the present condition
of the client reported in objective, be-
havioral terms; the name of the mental
health professional sj who is responsi-
ble for the treatment and, or case man-
agement of the client; and the reason for
admission.

( 1 ) Within 30 days following admission, the
following assessment information shall
be completed:

(A) the present condition of the client
reported in objective, behavioral terms,
and where possible a description of the
client's condition by family members;

(B) social, developmental and medical
histories and assessments. Additional
histories and assessments shall be com-
pleted as appropriate (e.g., vocational,
psychiatric, legal, educational and nu-
tritional). Histories and assessments
venerated bv other facilities service

9S6

SORTH CAROLINA REGISTER

PROPOSED RULES

providers may be used for respite pro-
grams;

(C) determination of, and request for,
additional referrals for special diagnostic
tests, assessments or evaluations, if
needed;

(D) results of other standardized and
non-standardiy.ed evaluations in the ar-
eas identified in (c)(1)(B) of this Rule;

(E) summary - of client and, if appropriate,
family strengths and weaknesses;

(F) copies of relevant evaluations from
other agencies or service providers.

(2) An ADAP which operates within a
sheltered workshop that meets the re-
quirements of the Division of Voca-
tional Rehabilitation Services shall be
considered to have an approved ADAP
evaluation program which may provide
the information for the evaluation re-
port.

(3) Within 30 days prior to admission to a
facility, a medical assessment shall be
completed indicating the client's ability
to participate in the program, absence
of communicable disease and immuni-
zation status. If the client has specific
medical problems, the physician's as-
sessment shall include a written state-
ment regarding precautions to be taken.
The physician's assessment shall be up-
dated at least annually during the cli-
ent's placement in the facility except for
ADAP, alternative family living and
supervised independent living.

(d) Substance Abuse Facilities:
(1) Substance abuse facilities, with the ex-
ception of supervised independent liv-
ing, alternative family living and
halfway houses, shall conduct an as-
sessment of the client after admission
as follows:

(A) admission assessment to be done
within 24 hours of admission which in-
cludes reason for admission, mental
status including suicide potential, ad-
mitting diagnosis, medical history and
general physical condition, activities as-
sessment, history of or assessment of
potential for physical abuse of family
members or others, a family assessment
when minors are served, legal status and
substance use history;

(B) in inpatient hospital treatment, resi-
dential treatment rehabilitation, non-
hospital medical detoxification, and
outpatient detoxification facilities, a

medical examination shall be completed
within 24 hours of admission; and
(C) except in detoxification facilities,
historical material including social, le-
gal, psychiatric, educational and voca-
tional assessments shall be completed
within 30 days of admission.
(2) In halfway houses, a thorough review
shall be made to determine appropri-
ateness of continued service in the fa-
cility within 30 days of admission and
at least every three months thereafter,
(e) Facilities Serving More Than One Disa-
bility (except for sheltered workshops):

(1) An admission note shall be completed
for each client within 24 hours of ad-
mission which includes at least the fol-
lowing:

(A) the present condition of the client
reported in objective, behavioral terms;

(B) the reason for admission; and

(C) the name of the qualified mental
health professional, qualified develop-
mental disabilities professional or qual-
ified substance abuse professional as
appropriate, who has designated re-
sponsibility for the client's
treatment program or case management
plan.

(2) The facility shall obtain assessment in-
formation judged to be essential to
serving the client in the facility, from
the qualified mental health professional,
qualified developmental disabilities
professional or qualified substance
abuse professional who has designated
responsibility for the client's
treatment program or case management
plan.

(3) Any other assessment information re-
quired by the facility's own policies
shall be completed or obtained as re-
quired by those policies.

Statutory Authority G.S. 122C-26; I43B-147.

.0315 INDIVIDUAL TREATMENT/PROGRAM
PLAN

(a) The governing body shall have written
policies and procedures for the development
of individual treatment program plans and the
assignment of staff responsibilities for imple-
mentation of such plans.

(b) Individual plans for each client shall be
based upon an evaluation of the client's con-
dition, assets and needs and the resources to
meet these needs. This plan shall provide a
systematic approach to the

NORTH CAROLINA REGISTER

9S7

PROPOSED RULES

treatment ,'habilitation of the client and sub-
stantiate the appropriateness of the treatment
or habilitation goals. The plan shall be devel-
oped in partnership with the client or individ-
ual acting in behalf of the client. Clinical
responsibility for the development and imple-
mentation of the plan shall be designated.
(c) Mental Health Facilities:

( 1 ) Inpatient psychiatric; residential acute
treatment; partial hospitalization; resi-
dential treatment for children and
youth; and day treatment for children
and youth facilities shall comply with
the following requirements:

(A) A comprehensive treatment plan,
based on information gathered during
the assessment process, shall be devel-
oped in cooperation with the client and
implemented within 30 days of admis-
sion, with the exception of inpatient
psychiatric and residential acute treat-
ment facilities wherein the plan shall be
implemented within ten days of admis-
sion. The comprehensive plan shall
include at least the following: diagnosis
and time-specific short and long-term
measurable goals, strategies for reaching
goals and staff responsibility for plan
implementation.

(B) Progress notes shall be completed on
at least a weekly basis and reflect the
client's progress or lack of progress to-
ward meeting goals, staff interventions
and information which may have a sig-
nificant impact on the client's condi-
tion.

(C) A thorough review of the compre-
hensive treatment plan shall be carried
out and documented in the plan at least
every six months or more frequently if
medically or clinically indicated.

(2) Group homes for adult and elderly in-
dividuals who are mentally ill shall
comply with the following require-
ments:

(A) Individual client plans shall be de-
veloped in cooperation with the client,
the facility staff and the mental health
professional who is responsible for the
treatment and/or case management of
the client within 30 days of the client's
admission to the facility. The plan shall
include at least the following: time-spe-
cific short and long-term goals to be
addressed by the client and the facility
staff documentation of coordination of
the plan for the client with the com-
prehensive treatment plan and the des-

ignated treatment responsibilities of the
mental health professional providing
treatment and the responsibilities of the
facility staff.

(B) Progress notes shall be completed on
a monthly basis which reflect the cli-
ent's progress or lack of progress toward
meeting goals; documentation of coor-
dination between the facility staff and
the mental health professional who is
responsible for treatment; and any other
information which may have a signif-
icant impact on the client's condition.

(C) A thorough review of the plan shall
be carried out and documented in the
plan at least annually or more fre-
quently if medically or clinically indi-
cated.

(3) Psychosocial rehabilitation programs
shall comply with the following re-
quirements:

(A) A plan shall be developed in coop-
eration with the client within 30 days
of the client's admission to the facility.
The plan shall include at least the fol-
lowing:

(i) Assessment of client's strengths
and weaknesses.
(ii) Individual service goals and activ-
ities in which the client will partic-
ipate,
(hi) Designation of staff responsibility
for coordination with goals contained
in the client's comprehensive treat-
ment plan.

(B) Progress notes shall be completed on
a monthly basis which document the
client's progress toward goal achieve-
ment and other significant information
regarding the client's situation.

(C) The plan shall be reviewed and
changes documented at least every six
months or more frequently if indicated
based on client functioning.

(4) Any facility which serves individuals on
a drop-in basis shall maintain a daily
attendance log, a daily activity plan, and
documentation of referrals to other ser-
vice providers.

(d) Mental Retardation/Developmental Dis-
ability Facilities and Sheltered Workshops:
( 1 ) Individual program plans shall be de-
veloped and implemented within 30
days of admission to all facilities with
the exception of respite care programs.
The plan shall be reviewed at least
quarterly and assessed and redeveloped
at least annuallv. For clients in A DAP

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NORTH CAROLINA REGISTER

PROPOSED RULES

and sheltered workshop placements, the
annual assessment shall include a re-
view to determine the need for referral
to Vocational Rehabilitation or other
services. Program plans shall provide
the basis for the development of indi-
vidual goal plans. Program plans shall
provide a systematic approach to the
habilitation of the client and substanti-
ate the appropriateness of the habili-
tation goals. Program plans shall be
developed in partnership with clients or
individuals acting in behalf of clients.
Clinical responsibility for the develop-
ment and implementation of program
plans shall be designated.

(2) Individual goal plans shall be developed
in the appropriate developmental and
vocational skill areas. Goal plans shall
be assessed on a quarterly basis in all
facilities with the exception of develop-
mental disability/behavior disorder
group homes wherein goal plans shall
be assessed on a monthly basis. Such
assessment shall address the client's
progress or lack of progress toward
meeting the plan and review of the plan
for appropriateness of established goals.
Individual goal plans are not required
for clients in supervised independent
living, alternative family living, shel-
tered workshops and ADAP clients in
supported employment.

(3) In specialized community residential
centers, nursing care plans shall be de-
veloped and implemented in addition to
the individual program plan. The
nursing care plan must address medical
needs and nursing care. Such plans
shall be integrated with individual goal
plans.

(4) In developmental disability/behavior
disorder group homes, the individual
program plan shall specify a time-spe-
cific admission of less than six months,
to be extended as needed on a six-
month basis, and shall emphasize pro-
gramming objectives that assist the
client in exiting to a less restrictive set-
ting.

(5) Progress notes shall be completed which
reflect the client's progress or lack ot
progress toward meeting program plan
goals, staff interventions and any infor-
mation which may have a significant
impact on the client's condition. Doc-
umentation shall be made of any con-

ferences or involvements with the
client's family or involved agencies.

(A) Progress notes for respite services
shall be completed after each respite
episode.

(B) Progress notes for developmental
disability, behavior disorder group
homes shall be completed at least
monthly.

(D) Except for respite services, when the
client is a minor, progress reports re-
garding the program plan shall be given
to the legally responsible person on a
quarterly basis.

(e) Substance Abuse Facilities:

(1) The preliminary treatment plan or de-
toxification instructions shall be initi-
ated within 24 hours of admission and
shall be based upon information gath-
ered during the admission assessment.

(2) The comprehensive treatment plan for
clients in residential treatment /habili-
tation facilities, therapeutic homes and
outpatient treatment facilities shall be
implemented within 30 days of admis-
sion. The comprehensive treatment
plan for clients in inpatient hospital
treatment programs shall be imple-
mented within ten days of admission.
Such plan shall include diagnosis, time-
specific short and long-term measurable
goals, and strategies for reaching goals.
The treatment plan shall be reviewed
and revised whenever medically or clin-
ically indicated or at least every six
months.

(3) Progress notes shall be written to reflect
the client's progress or lack of progress
toward meeting the treatment plan
goals and shall reflect staff interventions
and any information which may have a
significant impact on the client's status.
Documentation shall be made of any
conference or involvements with the
client's family or involved agencies and
any major events related to the client.

(A) Progress notes in outpatient services,
including outpatient detoxification ser-
vices, shall be completed after each cli-
ent visit.

(B) Progress notes shall be completed
weekly in residential treatment /habili-
tation facilities and therapeutic homes.

NORTH CAROLINA REGISTER

989

PROPOSED RULES

hospital medical detoxification facilities
at least every eight hours.

(D) In inpatient hospital treatment facil-
ities, progress notes shall be completed
on each shift.

(E) A weekly summary note shall be
completed in halfway houses, super-
vised independent living and alternative
family living.

(f) Facilities Serving More Than One Disa-
bility (Except for Sheltered Workshops):

(1) An individual client plan for services to
be provided by the facility shall be de-
veloped jointly by the client, facility
staff and the qualified mental health
professional, qualified developmental
disabilities professional or the qualified
substance abuse professional, as appro-
priate, who is responsible for the client's
treatment/program or case management
plan within 30 days of admission to the
facility. This plan shall include at least
the following:

(A) Specified goals and strategies to be
carried out by the facility staff to sup-
port the attainment of goals specified
by the qualified mental health profes-
sional, qualified developmental disabili-
ties professional or qualified substance
abuse professional who has designated
responsibility for the client's
treatment/ program or case management
plan.

(B) Documentation of joint development
of the individual client plan by the cli-
ent or legally responsible person, the
facility staff and the professional who
has designated responsibility for the cli-
ent's treatment/program or case man-
agement plan.

(2) Progress notes shall be completed on at
least a monthly basis which reflect:

(A) The client's progress or lack of pro-
gress in relation to his/her goals and
strategies within the client plan; and

(B) Documentation of coordination be-
tween the facility and the professional
who has designated responsibility for
the client's treatment, program or case
management plan.

(3) A thorough review of the individual
client plan shall be carried out annually
or more frequently if medically or clin-
ically indicated. The review of the in-
dividual client plan shall be conducted
cooperatively by the client or legally
responsible person, the facility staff and
the professional who has designated re-

sponsibility for the client's

treatment/program or case management
plan.

Statutory Authority G.S. 122C-26; 143B-147.

.0316 DISCHARGE/AFTERCARE

(a) The governing body shall develop written
policies and procedures for each facility which
shall include at least the following:

(1) discharge criteria; and

(2) in 24-hour facilities, procedures for de-
veloping an individual discharge plan in
accordance with G.S. 122C-61(2).

(b) Mental Health Facilities:

(1) Inpatient psychiatric; residential acute
treatment; partial hospitalization; resi-
dential treatment for children and
youth, and day treatment for children
and youth facilities shall complete a
discharge summary within 15 days fol-
lowing discharge which shall include at
least the following:

(A) reason for admission;

(B) significant findings;

(D) condition of client at discharge;

(E) recommendations and arrangements
for further services; treatment; and

(F) final diagnosis.

(2) All other mental health faculties shall
complete, within 15 days following dis-
charge, a discharge note which reflects
the status of the client at the time of
discharge from the facility and which
documents notification of the mental
health professional who is responsible
for the treatment and/or case manage-
ment of the client.

(1) Each facility shall develop a written
discharge summary.

(2) A non-respite discharge summary shall
be completed within 1 5 days of the cli-
ent's discharge which includes at least
the following information:

(A) reason for admission;

(B) significant findings;

(D) fnal assessment, including the gen-
eral observations and understanding of
the client's condition initially, during
and at discharge;

(E) recommendations and arrangements
for further services treatment; and

990

NORTH CAROLINA REGISTER

PROPOSED RULES

(F) final diagnosis.
(3) A respite discharge summary shall be
completed within 1 5 days of the respite
discharge and shall include as a mini-
mum:

(A) summary of the services provided;
and

(B) general observations and under-
standing of the client's condition ini-
tially, during and at discharge.

(d) Substance Abuse Facilities:

(1) Substance abuse facilities which provide
active treatment shall have a written
plan for aftercare services which mini-
mally includes:

(A) philosophy and policies of aftercare;

(B) plan for delivering aftercare services,
including the aftercare services which
are provided;

(C) provision for written agreements with
individuals or organizations if aftercare
services are not provided directly by the
facility; and

(D) referral procedures.

(2) Substance abuse facilities, with the ex-
ception of day activity, supervised in-
dependent living, alternative family
living and halfway houses, shall com-
plete a discharge summary within 1 5
days following discharge of a client
which shall include at least the follow-
ing information:

(A) reason for admission;

(B) significant findings;

(D) final diagnosis; and

(E) recommendations or referrals for
other services.

(e) Facilities Serving More Than One Disa-
bility (Except for Sheltered Workshops): A
discharge summary shall be completed within
15 days of the client's discharge from the facil-
ity. The discharge summary shall include at
least the following:

(1) reason for admission;

(2) course and progress of the client in re-
lation to the goals and strategies in the
individual client plan;

(3) condition of the client at discharge; and

(4) documentation of notification of the
professional who has designated re-
sponsibility for the client's
treatment/program or case management
plan.

Statutory Authority G.S. I22C-26; I43B-147.

.0317 CLIENT RECORDS

(a) Facilities shall maintain a client record for
each individual admitted to the faculty.

(b) Each client record shall contain an iden-
tification face sheet which includes at least the
following identifying information:

(1) client name (last, first, middle, maiden);

(2) client record number;

(3) client address;

(4) also known as;

(5) date of birth;

(6) race, sex and marital status;

(7) social security number;

(8) home telephone number;

(9) work telephone number;

(10) name, address and telephone number
of legally responsible person and/or
next of kin;

(11) admission date; and

(12) discharge date.

(c) Client-specific requirements delineated in
Rules .0312 through .0316 of this Subchapter
shall be documented in the client record.

(d) Information required in other rules in this
Subchapter (such as, but not limited to, medi-
cation prescribing, administering medication,
medication education, restraint or seclusion
and laboratory services) shall be documented
in the client record.

(e) Additional information which shall be
included in the client record may include the
following:

(1) diagnostic tests, assessments, evalu-
ations, consultations, referrals, support
services or medical services provided;

(2) known allergies and/or hypersensitivi-
ties;

(3) major events, accidents or medical
emergencies involving the client;

(4) consent for, and documentation of, re-
lease of information;

(5) documentation of applied behavior
modification which includes at risk or
other intrusive interventions, including
authorization, duration, summaries of
observation and justification;

(6) conferences or involvements with the
client's family, significant others or in-
volved agencies 'service providers;

(7) documentation of attempts to ascertain
why a client is not attending a service
in accordance with his/her established
schedule; and

(8) documentation of attendance in ser-
vices other than residential services.

(f) All client record entries shall include the
date of entry and authentication by the indi-
vidual making the entry. Time shall be re-

NORTH CAROLINA REGISTER

991

PROPOSED RULES

corded based upon the nature of services (e.g.,
shift notes, medication administration,
accidents injuries, at risk procedures).

(g) All client record entries shall be legible
and made in permanent ink or typewritten.

(h) Alterations in client records, which are
necessary in order to correct recording errors
or inaccuracies, shall be made as follows:

( 1 ) Alterations shall be made by the indi-
vidual who recorded the entry.

(2) A single, thin line shall be drawn
through the error or inaccurate entry
with the original entry still legible.

(3) The corrected entry shall be legibly re-
corded above or near the original entry
and or an explanation as to the type of
documentation error or inaccuracy shall
be recorded.

(4) Alterations include the date of cor-
rection and initials of recorder.

(i) Each page in client records originated
within the facility shall inrlude the client's
name and client recoid number, when as-
signed.

(j) Client records shall contain only symbols
and abbreviations included on an abbreviation
list approved by the facility.

(k) Notations in a client's record shall not
personally identify other clients.

(1) Each facility shall designate in writing
those individuals authorized to document in
client records.

(m) Forms and court orders relative to the
admission commitment of clients shall be in-
corporated into the client record.

Statutory Authority G.S. 122C-26; I43B-147.

.0318 SERVICE COORDINATION

(a) Coordination shall be maintained among
all staff members contributing to the evalu-
ation, planning and treatment habilitation ef-
fort for each client. This may be accomplished
in a variety of ways, such as interdisciplinary
team meetings, inter-agency meetings and case
management.

(b) Each facility utilizing shifts or relief staff
shall develop mechanisms to ensure adequate
communication among staff regarding clients.

Statutory Authority G.S. 122C-26: 143B-147.

.0319 QUALITY ASSURANCE

(a) Each governing body shall assure the es-
tablishment and implementation of a written
quality assurance plan which shall describe
quality assurance activities and how they will

be carried out. Quality assurance activities
shall include the following:

(1) an objective and systematic system for
monitoring and evaluating the quality
and appropriateness of client care;

(2) a written plan of professional/clinical
supervision describing such activities
and how they shall be carried out;

(3) the establishment and implementation
of program evaluation activities;

(4) the strategies for improving client care;
and

(5) the resolution of identified problems.

(b) For those facilities providing
treatment habilitation, supervision of staff of a
facility shall be conducted as follows:

(1) Each clinical staff member of a mental
health facility who is not a qualified
mental health professional shall receive
professional supervision from a quali-
fied mental health professional.

(2) Each direct care staff member of a
mental retardation facility who is not a
qualified developmental disabilities
professional shall be supervised by, or
have access to the professional super-
vision of, a qualified developmental
disabilities professional. Such access
shall be documented by a written
agreement for consultation on issues
related to the habilitative process for
persons with mental retardation or
other developmental disabilities.

(3) Each clinical staff member of an alco-
holism treatment facility who is not a
qualified alcoholism or substance abuse
professional shall receive professional
supervision from a qualified alcoholism
or substance abuse professional.

(4 1 Each clinical staff member of a drug
treatment facility who is not a qualified
drug abuse or substance abuse profes-
sional shall receive professional super-
vision from a qualified drug abuse or
substance abuse professional.

(5) Each clinical staff member of a facility
which provides both alcohol and drug
abuse treatment who is not a qualified
substance abuse professional shall be
supervised by a qualified substance
abuse professional.

(1) Each facility shall implement written
policies and procedures by which the
qualifications of each professional are
examined and a determination made as

992

SORTH CAROLINA REGISTER

PROPOSED RULES

to treatment/habilitation privileges
granted and supervision needed.
(2) Delineation of privileges shall be based
on documented verification of the indi-
vidual's competence, training, experi-
ence and licensure, certification or
registration.

Statutory Authority G.S. 122C-26; I43B-47.

.0320 INCIDENT REPORTING

Bach facility shall have and implement a
written policy for reporting all incidents re-
garding clients. The policy shall provide for
the following:

(1) prompt reporting of the incident to ap-
propriate persons within the facility and
prompt emergency care when indicated;

(2) documentation of the essential facts sur-
rounding the incident with such doc-
umentation maintained in administrative
files;

(3) periodic review of incident reports by
staff members to determine the cause of
such incidents and to recommend preven-
tive measures and corrective actions; and

(4) evidence of corrective action(s) taken, as
appropriate, to implement recommen-
dations.

Statutory Authority G.S. I22C-26: I43B-I47.

.0321 GROUPING OF CLIENTS

Fach facility shall have and implement a pol-
icy to ensure that each client is served appro-
priately in relation to age, developmental level,
sex, and nature and severity of clinical prob-
lems.

Statutory' Authority G.S. 122C-26; 143B-147.

.0322 FIRE AND DISASTER PLAN

A written fire and disaster plan for each facil-
ity shall be developed with the assistance of
appropriate experts in fire and safety and shall
be approved by the local fire authority. The
plan shall be made available to all staff and
evacuation procedures and routes and shall be
posted in the facility. The plan shall include
at least the following:

( 1) assignments of personnel to specific tasks
and responsibilities;

(2) instructions on the use of alarm systems
and signals;

(3) information on methods of fire contain-
ment;

(4| a system for notification of the fire de-
partment and occupants of the building;

(5) location of fire-fighting equipment; evac-
uation procedures and routes;

(6) procedures for prompt transfer of clients
and records to an appropriate facility; and

(7) other provisions as the local situation
dictates.

Statutory Authority G.S. 122C-26; 143B-147.

.0323 FIRE DRILLS FOR 24-HOUR
FACILITIES

(a) Fire and disaster drills in a 24-hour facil-
ity shall be held at least quarterly and shall ei-
ther be repeated for each shift or be conducted
when personnel from all shifts are present.
Drills shall be conducted under conditions that
simulate fire emergencies in order to:

(1) acquaint staff and clients with a means
of evacuating buildings that will ensure
orderly and controlled exit without
panic;

(2) ensure that all staff members on all
shifts are trained to perform assigned
tasks;

(3) ensure that all staff members on all
shifts are familiar with the operation of
fire-fighting equipment in the facility;
and

(4) provide documentation of problems that
occurred during the drill and what was
done to correct these problems.

(b) Responsibility for the planning and con-
ducting of drills shall be assigned to individuals
who have a demonstrated ability to exercise
leadership.

(d) The facility shall have a policy requiring
that staff participate in fire drills.

(e) Special provisions, such as fire chutes,
shall be made for the evacuation of non-am-
bulatory clients.

(f) Fire alarm systems, where available, shall
be used regularly in fire drills.

Statutory Authority G.S. 122C-26; 143B-147.

.0324 EQUIPMENT AND FLRNISIIINGS

All residential facilities shall equip and furnish
the bathroom, living room/den, kitchen and
other areas of the facility in such a way as to
provide a comfortable and normalized living
environment.

Statutory Authority G.S. 122C-26; 143B-147.

.0325 INDOOR LIVING SPACE FOR

NORTH CAROLINA REGISTER

993

PROPOSED RULES

RESIDENTIAL AND RESPITE
FACILITIES

Except for residential therapeutic (habilita-
tive) camps, the following requirements apply
to residential and respite facilities:

( 1 ) Each facility, except for a private home,
shall have a reception area for clients and
visitors and private space for interviews
and conferences with clients.

(2) The living room den, kitchen and dining
space shall be available to meet the clients'
needs.

(3) Each facility shall have indoor space for
group activities and social gatherings.

(4 1 The area in which therapeutic and ha-
bilitative activities are routinely conducted
shall be separate from sleeping areas.

(5) In facilities with overnight accommo-
dations for persons other than clients,
such accommodations shall be separate
from client bedrooms.

(6) No client shall be permitted to sleep in
an unfinished basement or in an attic.

(7) In a residential facility licensed under
residential building code standards and
without elevators, bedrooms above or be-
low the ground level shall be used only for
individuals who are capable of moving up
and down the steps independently.

(8) Minimum furnishings for client bed-
rooms shall include a separate bed, bed-
ding, pillow, bedside table, and storage for
personal belongings for each client.

(9) Only clients of the same sex may share
a bedroom except for children age six or
below and for married couples.

(10) Children and adolescents shall not share
a bedroom with an adult client.

Statutory Authority G.S. 122C-26; I43B-147.

.0326 OUTDOOR ACTIVITY
SPACE/EQUIPMENT

(a) Eacilities that provide structured outdoor
activities for clients shall provide space that is
suitable for the ages and treatment habilitation
needs of the clients served.

(b) Outdoor equipment shall be maintained
in good repair, safe for use and shall be age
appropriate.

Statutory Authority G.S. I22C-26; 143B-147.

(1) G.S. 122C-51. Declaration of policy on
clients' rights;

(2) G.S. 122C-52. Right to confidentiality;

(3) G.S. 122C-53. Exceptions; client;

(4) G.S. 122C-54. Exceptions; abuse re-
ports and court proceedings;

(5) G.S. 122C-55. Exceptions; care and
treatment;

(6) G.S. 122C-56. Exceptions; research and
planning;

(7) G.S. 122C-57. Right to treatment and
consent to treatment;

(8) G.S. 122C-58. Civil rights and civil
remedies;

(9) GS. 122C-59. Use of corporal punish-
ment;

(10) G.S. 122C-60. Use of physical restraints
or seclusion;

(11) G.S. 122C-61. Treatment rights in
24-hour facilities;

(12) G.S. 122C-62. Additional rights in
24-hour facilities;

(13) G.S. 122C-65. Offenses relating to cli-
ents; and

(14) G.S. 122C-66. Protection from abuse
and exploitation; reporting.

Statutory Authority G.S. 122C-26; 122C-51
through I22C-62; I22C-65; 122C-66; 143B-
147.

.0328 CLIENT GRIEVANCE POLICY

The governing body shall develop and imple-
ment a written client grievance policy which
identifies procedures for review and disposition
of client grievances.

Statutory Authority G.S. 122C-26; 143B-147.

.0329 VOLUNTARY NON-COMPENSATED
WORK

The governing body shall establish a policy
regarding voluntary non-compensated work
performed by the client. This policy shall
specify whether voluntary non-compensated
work is allowed at the facility or whether it is
prohibited by state or federal laws oi by deci-
sion of the governing body.

Statutory Authority G.S. 122C-26; 122C-51;
143B-147.

.0327 COMPLIANCE WITH CLIENTS'
RIGHTS STATUTES

Each facility shall have and implement poli-
cies and procedures to ensure the rights of cli-
ents. These procedures shall be in accordance
with the following statutes, as applicable:

.0330 USE OF MECHANICAL RESTRAINT
OR SECLUSION

(a) Those faculties which intend to employ
the use of mechanical restraint or seclusion of
a client shall be designated as a restrictive fa-
cilitv bv the Division of Facility Services.

994

SORTH CAROLINA REGISTER

PROPOSED RULES

(b) The use of mechanical restraint and se-
clusion shall be limited to those instances spe-
cified in G.S. 122C-60. Those procedures shah
be administered only by staff whose creden-
tials, training and experience have been exam-
ined and determined by the governing body to
be adequate to qualify staff to employ such
procedures.

(c) The governing body shall determine
which forms of mechanical restraint and/or
seclusion may be utilized by the facility. There
shall be written policies and procedures that
govern mechanical restraint and seclusion to
include the following:

( 1) training of all staff who are authorized
to use mechanical restraint or seclusion
and documentation of such training;
and

(2) requirements for documentation re-
garding the use of mechanical restraint
or seclusion in the client record to in-
clude, but not be limited to:

(A) a description of the mechanical re-
straint or seclusion procedures and the
date and time of its use;

(B) the rationale for mechanical restraint
or seclusion which addresses the inade-
quacy of less restrictive intervention
techniques;

(C) a description of the client's behavior
indicating imminent danger of abuse or
injury to himself/herself or others, or
substantial property damage;

(D) the frequency, intensity, and duration
of the behavior and any precipitating
circumstances contributing to the onset
of the behavior; and

(E) the signature and title of the em-
ployee responsible for the use of the
procedure.

(d) Mechanical restraint or seclusion shall
not be employed as retaliatory punishment or
for the convenience of staff or used in a man-
ner that causes harm or undue physical dis-
comfort or pain to a client. When mechanical
restraint or seclusion is used as a part of a be-
havior modification program, positive alterna-
tives shall always accompany these procedures.

(e) Any room used for seclusion shall meet
the following criteria:

(1) The room shall be designed and con-
structed to ensure the health, safety and
well-being of the client.

(2) The floor space shall not be less than
60 square feet, with a ceiling height of
not less than eight feet.

(3) Floor and wall coverings, as well as any
contents of the room, shall have a one-

hour fire rating and shall not produce
toxic fumes if burned.

(4) The walls shall be kept completely free
of objects.

(5) A lighting fixture, equipped with a mi-
nimum of a 75 watt bulb, shall be
mounted in the ceiling and be screened
to prevent tampering by the client.

(6) One door of the room shall be equipped
with a window mounted in a manner
which allows inspection of the entire
room. Glass in any windows shall be
impact-resistant and shatterproof.

(7) The room shall be adequately ventilated
either by natural or mechanical means.

(8) The room temperature shall be com-
patible with the rest of the facility.

(9) In a room where the door is not under
direct observation by staff and if a staff
person is not assigned to continuously
observe the area during the duration of
the confinement, the lock on the room
shall be interlocked with the fire alarm
system so that the door automatically
unlocks when the fire alarm is activated.

(f) A staff member determined qualified to
administer mechanical restraint and seclusion
may employ such procedures for periods up to
one hour without the order of a physician.

(g) In order to continue the use of mechan-
ical restraint or seclusion for longer than one
hour, a physician shall be consulted. The
physician shall conduct a clinical assessment
of the client in order to ascertain that the pro-
cedure is justified. If the physician concurs
that mechanical restraint or seclusion is needed
for longer than one hour, he shall write an or-
der to continue the procedure. The physician's
order shall be written within 12 hours from the
time of initial employment of the procedure.

(h) If a physician is not immediately avail-
able to the facility, a qualified professional,
who has experience and training in the use of
mechanical restraints and seclusion and who
has been deemed qualified to employ such
procedures, shall be consulted as an interim
measure. The qualified professional shall ob-
serve and assess the client before ordering
continued use of mechanical restraint or seclu-
sion. If it is not possible for the qualified
professional to assess the client prior to issuing
the order, he/she shall observe and assess the
client within one hour after ordering contin-
uation of the procedure. The order written by
the qualified professional shall be considered a
temporary order which is valid only until a
physician conducts an assessment and writes

NORTH CAROLINA REGISTER

995

PROPOSED RULES

an order. However, the qualified professional's
order is valid for no more than 12 hours.

(i) Whenever mechanical restraint or seclu-
sion is ordered, the following requirements
shall be met:

( 1 ) The order shall specify the reason(s) for
restraining and/or secluding the client
and the estimated amount of time
needed.

(2) Written orders shall be time-limited:

(A) Physician's orders shall not exceed
24 hours from initial employment of the
procedure.

(B) Qualified professional's orders shall
not exceed 12 hours from initial em-
ployment of the procedure.

(3) If the client is unable to gain self-control
within the time-frame specified in the
written order, a new order shall be ob-
tained.

(4) Standing orders or PRN orders shall not
be used to authorize the use of me-
chanical restraint or seclusion.

(j ) Wliile the client is in mechanical restraint
or seclusion, the following precautions shall
be followed:

( 1 ) Periodic observation of a client shall
occur at least every 15 minutes, or more
often as necessary, to assure the safety
and physical well-being of the client.
Appropriate attention shall be paid to
the provision of regular meals, bathing,
and the use of the toilet. Such obser-
vation and attention shall be docu-
mented in the client record.

(2) When mechanical restraint is used in the
absence of seclusion and the client may
be subject to injury, a staff member
shall remain present with the client
continuously.

(k) The client shall be removed from re-
straint or seclusion when he/she no longer de-
monstrates dangerous behavior. In no case
shall the client remain in mechanical restraint
or seclusion longer than one hour after gaining
behavioral control unless the client is asleep
during regularly scheduled -.leeping hours.

(1) Reviews and reports on the use of me-
chanical restraint and seclusion shall be con-
ducted as follows:

(1) All uses shall be reported daily to the
facility director or his her designee.

(2) The facility director or his her designee
shall review daily all uses and investi-
gate unusual or possibly unwarranted
patterns of utilization.

(3) Each facility director or his. her designee
shall maintain a statistical record of the

use of these procedures which shall be
available on a monthly basis to the go-
verning body and to the licensing
agency, upon request, and shall be re-
tained by the facility for a minimum of
24 months.

Statutory Authority G.S. 122C-26; I22C-51;
122C-53; I22C-60; 13IE-67; I43B-147.

.0331 USE OF ISOLATION TIME-OLT

(a) Isolation time-out may be used in non-
restrictive facilities. This procedure shall be
employed only when there is imminent danger
of abuse or injury to the client or others, when
substantial property damage is occurring, or
when isolation time-out is necessary as a mea-
sure of therapeutic treatment.

(b) Isolation time-out shall be administered
only by staff whose credentials, training and
experience have been examined and deter-
mined by the governing body to be adequate
to qualify staff to employ such procedure.

(c) The governing body shall determine ac-
ceptable procedures for employing isolation
time-out. There shall be written policies and
procedures that govern isolation time-out to
include the following:

( 1 ) training of all staff who are authorized
to use isolation time-out and doc-
umentation of such training; and

(2) requirements for documentation re-
garding the use of isolation time-out in
the client record to include, but not be
limited to:

(A) a description of the isolation time-
out procedure and the date and time of
its use;

(B) the rationale for isolation time-out
which addresses the inadequacy of less
restrictive intervention techniques;

(C) a description of the client's behavior
indicating imminent danger of abuse of
injury to himself herself or others, or
substantial property damage;

(D| the frequency, intensity, and duration
of the behavior and any precipitating
circumstances contributing to the onset
of the behavior; and

(E) signature and title of the employee
responsible for the use of the procedure.

(d) Isolation time-out shall not be employed
as a retaliatory punishment or for the conven-
ience of staff or used in a manner that causes
harm to a client. When isolation time-out is
used as part of a behavior modification pro-
gram, positive alternatives shall always accom-
pany these procedures.

996

NORTH CAROLINA REGISTER

PROPOSED RULES

(1) The room shall be designed and con-
structed to ensure the health, safety and
well-being of the client.

(2) The floor space shall not be less than
60 square feet, with a ceiling height of
not less than eight feet.

(3) Floor and wall coverings, as well as any
contents of the room, shall have a one-
hour fire rating and shall not produce
toxic fumes if burned.

(4) The walls shall be kept completely free
of objects.

(5) A lighting fixture, equipped with a mi-
nimum of a 75 watt bulb, shall be
mounted in the ceiling and be screened
to prevent tampering by the client.

(6) One door of the room shall be equipped
with a window mounted in a manner
which allows inspection of the entire
room. Glass in any windows shall be
impact-resistant and shatterproof.

(7) The room shall be adequately ventilated
either by natural or mechanical means.

(8) The room temperature shall be com-
patible with the rest of the facility.

(f) A staff member determined qualified to
administer isolation time-out shall authorize
each use of isolation time-out, up to two hours
within any 24 hour period. The qualified
professional shall observe and assess the client
before authorizing the use of isolation time-
out. Each authorization shall be for no more
than one hour's duration. Whenever a client
is placed in isolation time-out for more than
two hours in any 24 hour period, the director
of the facility or his/her designee shall assess
the client in order to ascertain that the proce-
dure is justified. If the facility director or
his/her designee agrees with the qualified pro-
fessional, he/she shall be responsible for au-
thorizing each additional placement in
isolation time-out during that 24 hour period.

(g) Whenever isolation time-out is author-
ized, the following requirements shall be met:

(1) The authorization shall specify the
reason(s) for isolation time-out and the
estimated amount of time needed.

(2) Authorization shall be time-limited and
shall not exceed one hour per authori-
zation, or two hours within any 24 hour
period.

(3) If the client is unable to gain self-control
within the time-frame specified in the
authorization, the facility director or
his her designee shall be consulted.

(h) While the client is in isolation time-out,
there shall be a staff person in attendance with
no other immediate responsibility than to
monitor the client who is placed in isolation
time-out. There shall be continuous observa-
tion and verbal interaction with the client.
Such observations shall be documented in the
client record.

(i) The client shall be removed from isolation
time-out when he/she no longer demonstrates
dangerous behavior.

(j) Reviews and reports on the use of iso-
lation time-out shall be conducted as follows:

(1) All uses shall be reported daily to the
facility director or his/her designee.

(2) The facility director or his/her designee
shall review daily all uses and investi-
gate unusual or possibly unwarranted
patterns of utilization.

(3) Each facility director or his/her designee
shall maintain a statistical record of the
use of this procedure which shall be
available on a monthly basis to the go-
verning body. Such records shall be
retained by the facility for a minimum
of 24 months.

Statutory Authority G.S. 122C-26; 122C-5I;
I22C-53; I22C-60; I3IE-67; 143B-I47.

.0332 USE OF PROTECTIVE RESTRAINT

Whenever protective restraint is used, the go-
verning body shall ensure that:

(1) the necessity for the protective devices
has been assessed and the device applied
by an individual who has been trained and
clinically privileged in the utilization of
protective devices;

(2) the client is frequently observed and
provided opportunities for such activities
as toileting and exercise, as needed, but
no less often than every two hours;

(3) whenever a client is restrained and subject
to injury by another client, a staff member
shall remain present with the client con-
tinuously;

(4) observations and interventions shall be
documented in the client's record; and

(5) documentation of the utilization of pro-
tective devices in the client's nursing care
plan, when applicable, and
treatment/habilitation plan.

Statutory Authority G.S. I22C-26; I22C-51;
122C-53; 122C-60; I31E-67; 143B-147.

.0333 RESEARCH REVIEW BOARD

NORTH CAROLINA REGISTER

997

PROPOSED RULES

(a) Each research activity of each facility
which involves clients in research activities
shall be reviewed and approved by a research
review board prior to the initiation of the re-
search project. The research review board is
a group comprised of at least five members
which has the authority to approve, require
modification, or disapprove proposed research
projects subject to the approval of the facility
director. Individuals not directly associated
with research projects under consideration
shall comprise a majority of the review board.
The review board may be established by the
facility conducting research activities or by an-
other public or private agency, institution or
organization.

(b) Each proposed research project shall be
presented to a research review board as a writ-
ten protocol containing the following infor-
mation:

( 1 ) identification of project and investigator;

(2) abstract, containing a short description
of the project;

(3) statement of objectives and rationale;
and

(4) description of methodology, including
informed consent if necessary.

(c) Prior to the initiation of each research
project, a research review boaid shall conduct
an initial review of the project; shall state the
frequency with which it will review the project
after is has been initiated; and shall hold a re-
view prior to any major changes being made
in research procedures.

(d) Written minutes of each research board's
meeting shall be maintained and contain doc-
umentation that risks to subjects were minimal
and reasonable for the benefits to be accrued;
that unnecessary intrusion on subjects was
eliminated; that informed consent was appro-
priatelv provided for; and that confidentiality
of subjects was protected.

Statutory Authority G.S. 122C-26; 122C-52;
143B-147.

.0334 SUBJECT PARTICIPATION IN
RESEARCH PROJECTS

Informed written consent shall be obtained
from each subject in a research project, or
from the legally responsible person if a subject
is incapable of providing informed written
consent as follows:

( 1 ) subjects shall be informed of any poten-
tial dangers or risks that may exist as a
result of participation;

( 2 ) subjects shall be informed as to what
their participation will entail as related to

time and effort, future follow-up, contacts
with other people about them, and alter-
ations of regular procedures;

(3) documentation shall be made that the
participants have been informed of any
potential dangers that may exist and that
they understand the conditions of partic-
ipation;

(4) each individual participating in a research
project shall have the right to terminate
participation at any time without preju-
dicing the treatment he/she is receiving or
his/her employment in the agency; and

(5) a copy of the dated, signed consent form
shall be kept on file by the facility staff.

Statutory Authority G.S. 122C-26; I22C-52;
MSB- 147.

.0335 MEDICAL EMERGENCIES

The governing body shall develop and imple-
ment a written plan to be utilized in medical
emergencies involving clients.

Statutory Authority G.S. I22C-26; 143B-147.

.0336 EMERGENCY INFORMATION

Each facility shall maintain emergency infor-
mation for each client which includes the
name, address and telephone number of the
person to be contacted in case of sudden illness
or accident and the name, address and tele-
phone number of the client's preferred physi-
cian.

Statutory Authority G.S. 122C-26; 143B-147.

.0337 EMERGENCY CARE PERMISSION

Upon the client's admission, each facility
shall secure a signed statement from the client
or legally responsible person granting permis-
sion to seek emergency care from a hospital
or physician.

Statutory Authority G.S. I22C-26; 143B-I47.

.0338 STAFF TRAINING FOR MEDICAL
EMERGENCIES

During hours of operation of each
treatment.habilitation facility, at least one staff
member shall be available who is tiained in
basic first aid, cardio-pulmonary resuscitation,
seizure management, and the Heimlich ma-
neuver or other approved Red Cross first aid
techniques for relieving airway obstruction.

Statutory Authority G.S. 122C-26; 143B-147.

.0339 PHYSICIAN RESPONSIBLE FOR

99 S

NORTH CAROLINA REGISTER

PROPOSED RULES

PROVISION OF MEDICAL SERVICES

A physician shall have responsibility for the
provision of medical services associated with
the mental health, mental retardation and
substance abuse needs of clients.

Statutory Authority G.S. I22C-26; I43B-I47.

.0340 PRIVACY FOR PHYSICAL
EXAMINATIONS/MEDICAL
PROCEDURES

When physical examinations or medical pro-
cedures are performed, the examination area
shall afford privacy for the client.

Statutory Authority G.S. I22C-26; 143B-147.

.0341 FIRST AID SUPPLIES

Each facility shall have access to first aid
supplies.

Statutory Authority G.S. I22C-26; I43B-147.

.0342 EDUCATIONAL REQUIREMENTS FOR
CHILDREN/ADOLESCENTS

(a) Each facility serving children and adoles-
cents shall ensure that the public education
requirements of the N.C. Department of Pub-
lic Instruction are met for each client.

(b) Each facility serving children and ado-
lescents shall develop and implement written
policies regarding transition of educational
services between the lead education agency
(LEA) and the facility.

(c) Each facility serving children and adoles-
cents shall be responsible for coordinating each
child's/adolescent's individual treatment plan
with his/her individualized education program.

Statutory Authority G.S. 122C-26; 143B-147.

.0343 RESPONSIBILITY FOR WATER
SAFETY

Each facility which makes water activities
available shall assure that an individual holding
a current certificate in life saving from a na-
tionally recognized recreation program is on
site and providing direct supervision of water
activities.

Statutory Authority G.S. I22C-26; 143B-147.

.0344 SPECIALIZED THERAPIES

Medical care, physical therapy, occupational
therapy, language and communication therapy,
and nursing care shall be provided by, or under
the direct supervision of, individuals
licensed/registered to perform these activities.

Statutory Authority G.S. 122C-26; 143B-I47.

.0345 TESTING SERVICES

Psychological, developmental, educational
and intelligence testing shall be performed by
staff or evaluators who are appropriately li-
censed, certified or trained to utilize the par-
ticular testing instrument being administered.

Statutory Authority G.S. 122C-26; I43B-147.

.0346 LABORATORY POLICIES AND
PROCEDURES

The governing body of each facility which
orders laboratory tests shall develop a written
policy which specifies the procedures to be
followed including authorization for, and fol-
low-up of, these tests. The policy shall specify
who shall bear the financial responsibility for
these laboratory procedures.

Statutory Authority G.S. I22C-26; 1 43 B- 147.

.0347 LABORATORY ACCREDITATION

The governing body shall assure that labora-
tory tests, if ordered, are performed by a labo-
ratory accredited by at least one recognized
accrediting agency such as the Joint Commis-
sion on Accreditation of Hospitals, the U.S.
Department of Health and Human Services,
National Institute of Mental Health, or the
College of American Pathologists.

.0348 DOCUMENTATION OF LABORATORY
TESTS

(a) Each facility shall document in the client
record the following information regarding
each laboratory test administered:

(1) name and date of any laboratory test(s)
ordered;

(2) name of physician ordering test; and

(3) date and time specimen obtained.

(b) The original copy of the report of labo-
ratory test results shall be included in the client
record.

Statutory Authority G.S. 122C-26; 143B-I47.

.0349 PRESCRIBING OF MEDICATION

(a) Only a physician or person authorized
by state law shall be permitted to prescribe le-
gend drugs. A written evaluation of the cli-
ent's need for medication shall be made in
conjunction with the prescription of medica-
tion.

(b) A physician or person authorized to
prescribe legend drugs shall approve in writing
the use of over-the-counter (non-prescription)
medication for clients in inpatient psychiatric

NORTH CAROLINA REGISTER

999

PROPOSED RULES

facilities and for minors and incompetent
adults in residential facilities. The legally re-
sponsible person of minors and incompetent
adults shall approve in writing the use of
over-the-counter (non-prescription) medica-
tion in all other facilities. A physician or per-
son authorized to prescribe legend drugs shall
approve the use of over-the-counter (non-
prescription! medication for minors seeking
treatment without parental consent.

(c) A physician assistant shall not prescribe
psychotropic medication unless authorized by
the N.C. Board of Medical Examiners.

(d) A nurse practitioner shall not prescribe
psychotropic medication unless authorized by
the N.C. Board of Medical Examiners and the
Board of Nursing.

(e) Each medication prescribed for a client
by a physician shall be documented in the cli-
ent's record and signed by the prescriber.

(f) The client's drug therapy regimen shall
be assessed by a physician for appropriateness
at least every six months.

Statutory Authority G.S. 122C-26; 143B-147.

.0350 DISPENSING OF MEDICATION

(a) Medication shall be dispensed by a
pharmacist or physician in a properly labeled
container in accordance with state and federal
law. Nurse practitioners and physicians' as-
sistants mav dispense medications in accord-
ance with 'G.S. 90-18.1, 90-18.2 and rules
adopted by the North Carolina Board of
Pharmacy and codified in 21 NCAC 46 .1700.
However, methadone for take home purposes
may be supplied to a bonafide client of a me-
thadone treatment service in a properly labeled
container by a registered nurse employed by
the service pursuant to the requirements of 10
NCAC 45G .0306; SUPPLYING OE ME-
THADONE IN TREATMENT PRO-
GRAMS BY RN.

(b) The medication container shall protect
medication from light and moisture and shall
be in a child-proof container.

( 1) client's name;

(2) date issued or refilled;

(3) directions for administration;

(4) medication name and strength (strength
optional with methadone);

(5) name, address and telephone number
of dispensing site;

(r>) prescriber's name;

( 7 ) dispensers or supplier's name; and

(8) ancillary cautionary labeling (if appro-
priate).

Statutory Authority G.S. 90- 18. J; 90-18.2;
90-68; 90-85.2; I22C-26; 143B-147.

.0351 ADMINISTRATION OF MFTJICATION

(a) Prescription medication shall be admin-
istered only on the written or verbal order of
an authorized prescriber.

(b) Over-the-counter (non-prescription)
medication shall be administered in inpatient
facilities and to minors and incompetent adults
in residential facilities only on the written ap-
proval of a physician or person authorized to
prescribe legend drugs.

(c) Over-the-counter (non-prescription)
medication shall be administered to minors or
mcompetent adults in all other facilities only
on the written approval of the legally respon-
sible person. Over-the-counter (non-prescrip-
tion) medication shall be administered to a
minor seeking treatment without parental
consent only on the written approval of a
physician.

(d) Only properly labeled and dispensed
medication shall be administered.

(e) Medication shall be administered in in-
patient facilities only by a physician, physician
assistant or nurse. In other facilities, medica-
tion may be administered by, or self-adminis-
tration supervised by, program staff who have
received instruction about each medication,
dosage, time of administration, side effects and
contraindications from either the facility's
physician, or his, her designee, or the legally
responsible person. A list of persons approved
to administer medication shall be maintained
by the facility.

(f) A physician shall approve in writing the
self- administration of prescription and over-
the-counter (non-prescription) medication by
clients in inpatient facilities or minors or in-
competent adults in residential facilities. A
minor or the legally responsible person of a
minor or incompetent client shall obtain phy-
sician consent in writing for the self-adminis-
tration of prescription or over-the-counter
(non-prescription) medication in outpatient,
day night facilities. The competent adult client
may self-administer prescription or over-the-
counter (non-prescription) medication in out-
patient, day. night or residential facilities.
Where applicable, clients should receive train-
ing in the self-administration of medication.

(g) The administration of medication by staff
shall be documented in the client record on a
facilitv-maintained individualized medication

1000

NORTH CAROLINA REGISTER

PROPOSED RULES

administration record. The medication ad-
ministration record shall contain documenta-
tion of doses administered.

(h) Medication administration errors and
adverse drug reactions shall be recorded in the
client record and reported to the prescribing
physician immediately.

Statutory Authority G.S. 90-21.5;

90-171.20(7), (8); 90-177.44; I22C-26;
143D-I47.

.0352 STORAGE OF MEDICATION

(a) In facilities where medication is adminis-
tered by staff, all medication shall be stored as
follows:

( 1) Medication shall be stored under proper
conditions of sanitation, temperature,
light, moisture and ventilation.

(2) Medication shall be stored in a securely-
locked cabinet except that this shall not
apply to services provided in private
homes.

(3) Only those persons authorized to pre-
scribe or administer medication shall
have access to stored medication.

(4) Medication for external use shall be
segregated from medication for internal
use.

(5) Medication stored in a refrigerator used
for other purposes shall be kept in a
separate, securely locked compartment.

(6) Space for medication storage shall be
of sufficient si/.e to allow separate stor-
age of each client's medication and to
prevent overcrowding.

(b) In facilities where clients self-medicate,
all clients shall receive instructions on how to
properly store medication and be provided se-
parate space, when appropriate, for the storage
of medication in a secure manner.

Statutory- Authority G.S. 122C-26; I43B-147.

.0353 DISPOSAL Ol MEDICATION

Medications shall be disposed of in the fol-
lowing manner:

(1) Controlled substances. In consultation
with the facility's providing or consulting
pharmacist, the facility shall adopt proce-
dures for the disposal of controlled sub-
stances consistent with state and federal
laws.

(2) Non-controlled substances (prescription
medication):

(a) Any facility disposing of prescription
medication shall do so in a manner that
guards against diversion and accidental

ingestion. Acceptable methods of dis-
posal include the following:

(i) transfer of medication to a local
pharmacy or regional psychiatric hos-
pital pharmacy for destruction;

(ii) flush into a sewer system; or

(iii) preferably by incineration,
(b) A record of medication disposal shall
be maintained. The record shall in-
clude the following:

(i) client's name (if applicable);

(ii) name and strength of medication;

(iii) drugstore name and prescription
number (if applicable);

(iv) quantity to be disposed;

(v) method of disposal;

(vi) date of disposal;

(vii) signature of employee disposing of
the medication; and

(viii) signature of employee witnessing
the disposal.

Statutory Authority G.S. 122C-26; 21 C.F.R.
1307.21'; 143B-147.

.0354 MEDICATION EDUCATION

(a) Each client to be started or maintained
on prescription medication shall receive indi-
vidual or group education rcgardmg prescribed
medication.

(b) The physician or his designee shall assess
each client's ability to self-administer medica-
tion as well as other factors that may affect
drug therapy. In instances where the ability
of the client to understand the medication ed-
ucation is questionable, a responsible person
shall be provided with the opportunity to re-
ceive both written and oral instructions on be-
half of the client.

(c) The prescribing physician or other person
approved by the physician shall provide the
following written and oral information to the
client or responsible person at a time deemed
appropriate by the physician:

(1) the name, appearance and dosage regi-
men, intended use and common side
effects of the medication;

(2) adverse reactions or uncomfortable side
effects that should prompt calling a
physician;

(3) food, drugs or beverages that should be
avoided/taken with medication;

(4) an alternative dosage regimen if a dose
is missed;

(5) the expected length of the medication
treatment;

(6) refill instructions;

NORTH CAROLINA REGISTER

1001

PROPOSED RULES

(7) the proper place to store medication:
and

(8) the need to communicate and coordi-
nate with other physicians of the client
regarding prescription medications.

(d) The medication education assessment
and information provided shall be individual-
ized for each client and documented in the cli-
ent record.

(e) Medication education shall be coordi-
nated with the discharging or receiving pro-
gram.

Statutory Authority G.S. 122C-26; 130A-361;
I43B-147.

.0355 COMPLIANCE WITH N.C.

CONTROLLED SUBSTANCES ACT

Each facility that maintains stocks of con-
trolled substances shall be currently registered
under the North Carolina Controlled Sub-
stances Act and shall be in compliance with
Chapter 90 of the North Carolina General
Statutes Article 5, N.C. CSA. These rules are
available free of charge from DMII MR SAS.

Statuton' Authority
143B-147.

G.S. 90-101; 122C-26;

.0356 FOOD SERVICE MENUS

Each facility which serves or makes available
meals for clients shall:

(1) comply with the recommended Dietary
.Allowance of the Eood and Nutrition
Board of the National Academy of Sci-
ences 9th rev. ed. 1980 available at a cost
of six dollars ($6.00) from the Office of
Publications. National Academy Press.
2101 Constitution Avenue N.W., Wash-
ington, D.C. 20418: and

(2) provide food in keeping with general
cultural, ethnic and life-style patterns of
the clients served.

Statutory Authority
I43B-147.

G.S. 122C-26: 130A-361;

.0357 MODIFIED DIETS

Each facility which serves or makes available
meals for clients shall provide modified diets in
accordance with a physician's prescription and
with a menu pattern approved by a registered
dietitian.

Statuton- Authority G.S. 122C-26: 130A-36I;
I43B-147.

.0358 STAFFING FOR FOOD SERVICE

Each facility which serves or makes available
more than one meal daily shall designate the
staff responsible for procurement, preparation
and serving of meals and for the maintenance
of equipment and sanitary work space.

Statutory Authority G.S. I22C-26; 143B-147.

.0359 FOOD SERVICE EQLIPMENT AND
SPACE

Each facility which serves or makes available
more than one meal daily shall:

(1) provide equipment and space to store
food separately from other items;

(2) provide equipment and space to prepare
and serve meals including all modified diet
menu items; and

(3) designate areas for dining which shall be
equipped and arranged to meet the needs
of the population served.

Statutory Authority G.S. 122C-26: 143B-I47.

.0360 VOLUNTEER SERVICES

In facilities where volunteer services are uti-
lized:
( 1 ) The objectives and scope of the volunteer
service shall be clearly stated in writing.

(2) An orientation program shall be con-
ducted to familiarize volunteers with the
facility's goals and services and to provide
appropriate clinical orientation regarding
the facility's clients.

(3) The work of volunteers shall be super-
vised by appropriate staff of the facility.

Statutory Authority G.S. 122C-26; 143B-147.

.0361 TRANSPORTATION POLICY

The governing body of each facility providing
transportation for clients shall develop and
implement a written transportation policy
which shall address at least the following:

(1) eligibility of clients for transportation
services;

(2) the means by which the facility shall
provide transportation;

(3) procedures to be employed in emergency
situations occurring during the transpor-
tation of clients;

(4) qualifications and training of vehicle dri-
vers and aides; and

(5) fees, if any, for transportation.

Statutory Authority G.S. J22C-20; 143B-I47.
.0362 LICENSED DRIVER

1002

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Each driver providing transportation for cli-
ents shall hold a current license to operate the
type of vehicle(s) to which he is assigned.

Statutory Authority G.S. 122C-26; 143B-I47.

.0363 SAFETY PRECAUTIONS

(a) A seat and a seat belt shall be provided
for each individual being transported in a ve-
hicle except that the provision of seat belts
shall not be required for individuals being
transported in a bus for which the manufac-
turing code does not recommend the installa-
tion of seat belts.

(b) When physically handicapped individuals
are transported, the vehicle shall provide secure
storage for adaptive equipment.

Statutory Authority G.S. 122C-26; 143B-147.

.0364 TRANSPORTATION OF MINORS

(a) I ; ach child six years of age and under
shall be transported in a child passenger re-
straint system (car safety seat or seat belts)
which met applicable federal standards when
the equipment was manufactured. Children
three years of age and under shall be trans-
ported in a car safety seat.

(b) When four or more preschool children
are transported in the same vehicle, at least two
adults shall be present in the vehicle.

(c) When two or more preschool children
who require special assistance while boarding
or riding in a vehicle are transported in the
same vehicle, there shall be one adult, other
than the driver, to assist in supervision of the
children.

Statutory Authority G.S. 122C-26; 143B-I47.

SECTION .0400 - PHYSICAL PLANT

.0401 CURRENTLY LICENSED FACILITIES

Facilities subject to licensure under G.S.
122C, Article 2 which are legally operating
under a current license issued by DPS upon
the effective date of this Rule shall be in com-
pliance with all applicable portions of the
North Carolina State Building Code in effect
at the time the facility was constructed or last
renovated. However, if alterations or additions
are made to a facility, such alterations or addi-
tions shall be made in compliance with the
provisions of Rules .0402 and .0403 of this
Section.

Statutory Authority G.S. 122C-26; 143B-147.

.0402 FACILITY CONSTRUCTION/

ALTERATIONS/ADDITIONS

When construction of a new facility is
planned or when alterations or additions are
planned for an existing facility, work shall be-
gin only after consultation with DFS.

Statutory Authority G.S. 122C-26; I43B-I47.

.0403 COMPLIANCE WITH BUILDING CODE
REQUIREMENTS

(a) As used in this Rule the term "new fa-
cility" refers to a facility which has not been
licensed previously and for which an initial li-
cense is being sought. The term does not refer
only to a "new" building but will apply to an
"old" building if the building houses a facility
for which an initial license is being sought.

(b) Each new facility specified in (d), (e), (f),
(g), (h) and (i) of this Rule, with the exception
of private home respite, alternative family liv-
ing and apartment models, in supervised inde-
pendent living, shall be in compliance with the
current edition of Section 1 IX of Volume I of
the N.C. State Building Code.

(c) Each new facility specified in (d), (e), (f),
(g), (h) and (i) of this Rule, with the exception
of private home respite, alternative family liv-
ing and apartment models shall be in compli-
ance with the current edition of Volume II, III
and IV of the N.C. State Building Code.

(d) In addition to Building Code require-
ments specified in (b) of this Rule, new facili-
ties specified in (1), (2), and (3) of this
Paragraph shall meet the requirements of the
current edition of Volume I-B of the N.C.
State Building Code as follows:

(1) Mental retardation/developmental disa-
bility facilities:

(A) group homes for individuals with
mental retardation or other develop-
mental disabilities and with behavior
disorders serving five or fewer clients
who are ambulatory and able to re-
spond on their own and evacuate the
facility without assistance; and

(B) community center-based respite for
individuals with mental retardation,
other developmental disabilities, devel-
opmental delays or at risk for these
conditions serving five or few : er clients
who are ambulatory and able to re-
spond on their own and evacuate the
facility without assistance.

(2) Mental health facilities:

(A) group homes and residential acute
treatment for adult and elderly individ-
uals who are mentally ill serving six or
fewer clients who are ambulatory and

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PROPOSED RULES

able to respond on their own and evac-
uate the facility without assistance; and
(B) residential treatment for children and
adolescents serving six or fewer clients
who are ambulatory and able to re-
spond on their own and evacuate the
facility without assistance.
(3) Substance abuse facilities:

(A) non-hospital medical detoxification
for individuals who are substance abus-
ers serving six or fewer clients who are
ambulatory" and able to respond on
their own and evacuate the facility
without assistance;

(B) social setting detoxification for indi-
viduals who are alcoholics serving six
or fewer clients who are ambulatory
and able to respond on their own and
evacuate the facility without assistance;
and

(C) halfway houses for individuals who
are substance abusers serving six or
fewer clients who are ambulatory and
able to respond on their own and evac-
uate the facility without assistance.

(e) In addition to Building Code require-
ments specified in (b) and (c) of this Rule, new
facilities specified in ( 1 ) and (2) of this Para-
graph shall meet the requirements of the cur-
rent edition of Volume I. Section 510 of the
N.C. State Building Code as follows:

( 1 ) Mental retardation developmental disa-
bility facilities:

(A) group homes for adults with mental
retardation or other developmental dis-
abilities serving more than six residents
and fewer than ten residents who are
ambulatory and able to respond on
their own to emergency conditions;

(B) group homes for adults with mental
retardation or other developmental dis-
abilities serving six or fewer clients of
whom one. two or three are non-am-
bulatory or unable to respond on their
own to emergency conditions;

(C) group homes for children with men-
tal retardation or other developmental
disabilities serving fi\ e or fewer resi-
dents of whom one, two or three are
non-ambulatory or unable to respond
on their own to emergency conditions;

(D) group homes for individuals with
mental retardation or other develop-
mental disabilities and with behavior
disorders serving five or fewer of whom
one, two or three are non-ambulatory
or unable to respond on their own to
emergency conditions;

(E) supervised independent living board-
ing homes for adults with mental retar-
dation or other developmental
disabilities serving more than six resi-
dents and fewer than ten residents who
are ambulatory and able to respond on
their own to emergency conditions;

(F) community center-based respite for
individuals with mental retardation,
other developmental disabilities, devel-
opmental delays or at risk for these
conditions serving six or fewer clients
of whom one, two or three are non-
ambulatory or unable to respond on
their own to emergency conditions.

(2) Mental health facilities: residential
treatment for individuals serving seven
to nine clients who are ambulatory and
able to respond on their own and evac-
uate the facility without assistance,
(f) In addition to Building Code require-
ments specified in (b) and (c) of this Rule, new
facilities specified in (1), (2) and (3) of this
Paragraph shall meet the requirements of the
current edition of Volume I, Section 409, In-
stitutional Occupancy (I) of the N.C. State
Building Code as follows:

(1) Mental retardation, developmental disa-
bility facilities:

(A) specialized community residential
sendees for individuals with mental re-
tardation or other developmental disa-
bilities;

(B) group homes for adults with mental
retardation or other developmental dis-
abilities serving six or fewer residents of
whom more than three are non-ambu-
latory and unable to respond on their
own to emergency conditions;

(C) group homes for individuals with
mental retardation or other develop-
mental disabilities and with behavior
disorders with more than three clients
who are non-ambulatory or unable to
respond on their own to emergency
conditions;

(D) group homes for children with men-
tal retardation or other developmental
disabilities with more than three clients
who are non-ambulatory; and

(E) community center-based respite for
individuals with mental retardation,
other developmental disabilities, devel-
opmental delays or at risk for these
conditions serving five or fewer clients
of whom more than three are non-am-
bulatory or unable to respond on their
own to emereencv conditions.

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(2) Mental health facilities:

(A) inpatient psychiatric facilities for in-
dividuals who are mentally ill;

(B) residential acute treatment for adult
and elderly individuals who are men-
tally ill; and

(3) Substance abuse facilities:

(A) inpatient hospital treatment for indi-
viduals who are substance abusers; and

(B) nonhospital medical detoxification
for individuals who are substance abus-
ers.

(g) In addition to Building Code require-
ments specified in (b) and (c) of this Rule, new-
facilities specified in (1), (2), (3) and (4) of this
Paragraph shall meet the requirements of the
current edition of Volume I, Section 405, Bu-
siness Occupancy (B) of the N.C. State Build-
ing Code as follows:

( 1 ) Mental retardation developmental disa-
bility facilities: adult developmental ac-
tivity programs for individuals with
substantial mental retardation, severe
physical disabilities or other substantial
developmental disabilities;

(2) Mental health facilities:

(A) psychosocial rehabilitation programs
for individuals who are chronically
mentally ill;

(B) day treatment for children and ado-
lescents who are emotionally disturbed;
and

(3) Substance abuse facilities:

(A) outpatient treatment for individuals
who are substance abusers;

(B) outpatient detoxification for individ-
uals who are substance abusers; and

(4) Facilities serving one or more disability:

(A) sheltered workshops; and

(B) day activity facilities for adult and
elderly individuals who are mentally ill
and or substance abusers.

(h) In addition to Building Code require-
ments specified in (b) and (c) of this Rule, new
facilities specified in ( 1 ) and (2) of this Para-
graph shall meet the requirements of the cur-
rent edition of Volume I, Section 406,
Educational Occupancy (E) of the N.C. State
Building Code as follows:

( 1 ) Mental retardation developmental disa-
bilitv facilities: before after school and

summer developmental day services for
children with mental retardation or
other developmental disabilities; and
(2) Mental health facilities: day treatment
for children and adolescents who are
emotionally disturbed,
(i) In addition to Building Code require-
ments specified in (b) and (c) of this Rule, new
facilities specified in (1) and (2) of this Para-
graph shall meet the requirements of the cur-
rent edition of Volume I, General
Construction, Section 411, Residential Occu-
pancy (R) of the N.C. State Building Code as
follows:

(1) Substance abuse facilities:

(A) social setting detoxification for more
than six individuals who are alcoholics;

(B) residential treatment rehabilitation
for more than six individuals who are
substance abusers; and

(2) Facilities serving one or more disability:
residential therapeutic (habilitative)
camps for children and adolescents.

(j) Volume I (General Construction) is
available at a cost often dollars ($10.00); Vol-
ume I-B (Uniform Residential Building Code)
at a cost of two dollars ($2.00); Volume II
(Plumbing) at a cost of three dollars ($3.00);
Volume III (Heating and Air Conditioning) at
a cost of four dollars and fifty cents ($4.50);
and Volume IV (Electrical) at a cost of fifteen
dollars ($15.00) from the N.C. Department of
Insurance, P.O. Box 26387, Raleigh, N.C.
27611.

(k) This Rule is adopted in accordance with
the provisions of Subsection (c) of G.S.
150B-14.

Statutory Authority G.S. 122C-26; 143B-147;
1 50 B- 14(c).

.0404 LOCATION OF FACILITY

(a) Each facility shall be located on a site
where:

(1) fire protection is available;

(2) safe water supply and acceptable sewage
and solid waste disposal services are es-
tablished;

(3) occupants are not exposed to undue
hazards and pollutants; and

(4) local ordinances and zoning laws are
met.

(b) The site at which a 24-hour facility is
located shall have suificient outdoor area to
permit clients to exercise their right to outdoor

NORTH CAROLINA REGISTER

1005

PROPOSED RULES

activity in accordance with the provisions of
G.S. 122C-62.

(c) Each new residential facility shall be lo-
cated in a residential (urban or rural) setting.
Access to schools, shopping sites and recre-
ational sites shall be considered in selecting the
location.

Statutory Authority G.S. 122C-26; 122C-62;
143B-147.

.0405 FACILITY DESIGN AND EQUIPMENT

(a) Each facility shall be planned and
equipped to provide the services offered, or to
be offered, to clients in the facility.

(b) Facilities shall be designed and con-
structed in a manner that will provide clients
privacy while bathing, dressing or using toilet
facilities.

Statutory Authority G.S. I22C-26; I43B-147.

.0406 MAINTENANCE OF FACILITIES AND
GROUNDS

Each facility and its grounds shall be main-
tained in a safe, clean, attractive and orderly
manner and shall be kept free from offensive
odor. Buildings shall be kept free from insects
and rodents.

Statutory Authority G.S. 122C-26; 143B-147.

.0407 SAFETY PRECAUTIONS/
REQl IREMENTS

(a) Each facility shall have and implement
specific policies which address usage, mainte-
nance, supervision of, and safety precautions
for, special client activity areas.

(b) Each facility shall be designed, con-
structed and equipped in a manner that ensures
the physical safety of clients, staff and visitors.

(c) Each facility shall be kept free of hazards
such as warped or damaged floors or floor
coverings, cracked plaster, broken windows,
damaged or worn stair treads or loose han-
drails.

(d) All hallways, doorways, entrances,
ramps, steps and corridors shall be kept clear
and unobstructed at all times.

(e) All mattresses purchased for existing or
new facilities shall be fire retardant.

(f) Electrical, mechanical and water systems
shall be maintained in operating condition.

(g) Except for therapeutic (habilitative)
camps, in each 24-hour facility, heating and air-
conditioning shall be provided to maintain a
comfort range between 68 and SO degrees
Fahrenheit.

(h) All indoor areas to which clients have
routine access shall be well-kghted. Lighting
shall be adequate to permit occupants to
comfortably engage in normal and appropriate
daily activities such as reading, writing, work-
ing, sewing and grooming.

Statutory Authority G.S. 122C-26; 143B-147.

.0408 INDOOR SPACE REQUIREMENTS FOR
RESIDENTIAL FACILITIES

(a) Except for those mental health, mental
retardation or other developmental disability
or substance abuse facilities licensed as of the
effective date of these Rules, residential facili-
ties shall meet the following indoor space re-
quirements:

(1) Client bedrooms shall have at least 100
square feet for single occupancy and 80
square feet per client when more than
one client occupies the bedroom.

(2) Where bassinets and portable cribs for
infants are used, a minimum of 40
square feet per bassinet or portable crib
shall be provided.

(3) Except for specialized community resi-
dential centers for individuals with
mental retardation or other develop-
mental disabilities, no more than two
clients may share an individual bed-
room regardless of bedroom size.

(4) At least one full bathroom for each five
or fewer persons including staff of the
facility and their family shall be in-
cluded in each facility.

(b) Existing structures already licensed at the
time of the adoption of these Rules shall satisfy
the minimum square footage requirements in
effect at the time of the facility's initial licen-
sure.

Statutory Authority G.S. 122C-26; 143B-I47.

SUBCHAPTER I4L - LICENSURE RULES FOR
MENTAL HEALTH FACILITIES

SECTION .0100 - INPATIENT PSYCHIATRIC

SERMCES FOR INDIYIDUALS WHO ARE

MENTALLY ILL

.0101 INTRODLCTION

(a) Inpatient psychiatric service is an inpa-
tient service for the mentally ill which provides
intensive 24-hour per day treatment in a hos-
pital setting. Supportive nursing and medical
care are provided under the supervision of a
psychiatrist. This service is designed to pro-
vide continuous treatment for individuals with
acute psychiatric problems. Services may in-

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[

elude psychological and medical diagnostic
procedures; observation; treatment modalities
including medication, psychotherapy, group
therapy, occupational therapy, industrial ther-
apy, vocational rehabilitation, recreation ther-
apy and milieu treatment; medical care and
treatment as needed; supportive services in-
cluding education; and room and board. In-
patient psychiatric service is the most intensive
and restrictive type of service for mentally ill
individuals.

(b) The service shall be designed to serve
individuals who require continuous treatment
for mental illness. Individuals who, in addition
to mental illness, have other disorders, such as
mental retardation or substance abuse, shall
be eligible for admission if primarily in need
of treatment for mental illness.

Statutory Authority G.S. 122C-26; I43B-I47.

.0102 HOURS OF OPERATION

Each facility providing inpatient psychiatric
services shall operate 24 hours per day, seven
days per week, 12 months per year.

Statutory Authority G.S. I22C-26; USB- 147.

.0103 STAFF REQUIRED

(a) Staff coverage shall include at least one
of each of the following: psychiatrist, licensed
practicing psychologist, psychiatric social
worker and psychiatric nurse.

(b) Physician coverage and the services of a
qualified mental health professional shall be
readily available by telephone or page and able
to reach the facility within 30 minutes on a
24-hour per day basis.

Statutory Authority G.S. I22C-26; I43B-I47.

.0104 PROFESSIONAL STAFF
ORGANIZATION

(a) There shall be an organized professional
staff that has overall responsibility for the
quality of care provided.

(b) There shall be professional staff by-laws
that require, unless otherwise provided by law,
that a licensed physician be responsible for di-
agnosis and all medical care and treatment.

(d) The professional staff by-laws shall de-
scribe the specific role of each discipline re-

presented on the professional staff or exercising
clinical privileges.

(e) The professional by-laws shall specify
mechanisms for the regular review, evaluation
and monitoring of professional staff practices.

Statutory Authority G.S. 122C-26; I43B-147.

.0105 PLAN FOR SERVICES AND STAFF
COMPOSITION

(a) Each facility shall have a written plan
which clearly delineates the numbers and qua-
lifications of its personnel as determined by at
least the following:

(1) size of the facility;

(2) characteristics of the client population,
such as whether children, adolescents,
adults, elderly;

(3) clinical characteristics of the client pop-
ulation; and

(4) fundamental needs of the clients.

(b) The facility shall have a sufficient number
of appropriately qualified clinical, administra-
tive and support staff to assess and address the
clinical needs of clients.

(c) Staff members shall have training and/or
experience in the provision of care to mentally
ill individuals in each of the age categories ac-
cepted for treatment, such as child, adolescent,
adult, elderly.

Statutory Authority G.S. 122C-26; 143B-147.

.0106 STAFF DEVELOPMENT

Ongoing professional education shall be pro-
vided to keep the professional staff informed
of significant clinical and administrative devel-
opments and skills.

Statutory Authority G.S. 122C-26; 143B-147.

SECTION .0200 - RESIDENTIAL ACUTE
TREATMENT FOR ADULT AND ELDERLY
INDIVIDUALS WHO ARE MENTALLY ILL

.0201 INTRODUCTION

(a) A residential acute treatment program for
adult and elderly individuals who are mentally
ill is a residential service which provides psy-
chiatric care and treatment on a 24-hour basis
in a non-hospital setting for individuals in cri-
sis who need short-term intensive evaluation,
and/or treatment intervention or behavioral
management to stabilize acute/crisis situations.

(b) This sendee is designed as a time-limited
alternative to hospitalization for individuals in
crisis.

Statutory Authority G.S. I22C-26; 143B-I47.

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1007

PROPOSED RULES

.0202 HOI RS OF OPERATION

Services shall be provided 24 hours per day,
seven days per week, 12 months per year.

Statutory Authority G.S. I22C-26; 143B-147.

.0203 STAFF REQl IRED

(a) Staff supervision shall be provided by a
qualified mental health professional.

(b) Staff with training and experience in the
provision of care to acutely mentally ill persons
shall be present at all times.

Statutory Authority G.S. 122C-26; 143B-147.

SECTION .0300 - PARTIAL

HOSPITALIZATION FOR INDIVIDUALS

WHO ARE ACUTELY MENTALLY ILL

.0301 INTRODUCTION

(a) A partial hospitalization program is a
day night service which provides a broad range
of intensive therapeutic approaches which may
include group therapy, individual therapy, oc-
cupational, activity and recreational therapies,
training in community living and specific cop-
ing skills, and medical services as needed pri-
marily for acutely mentally ill individuals.
This service may be designed to prevent hos-
pitalization or to serve as an interim step for
those leaving a regional hospital. It may also
be designed to increase the individual's ability
to relate to others and function appropriately.
This service provides a medical component in
a less restrictive setting than a hospital or a re-
sidential treatment rehabilitation facility.

fb) Rules contained in this Section apply to
all partial hospitalization programs with the
exception of Rules .030S through .0310 of this
Section which apply only to programs serving
minors.

Statutory Authority G.S. 122C-26; I43B-147.

.0302 HOI RS OF OPERATION

Each partial hospitalization program shall
operate for a minimum of four hours per day
(exclusive of transportation time), five days per
week. 12 months per year.

Statutory Authority G.S. J22C-2o; I43B-I47.
.0303 PROVISION FOR CLASSROOM SPACE

Each program offering on-site educational
programming shall have designated space for
classroom activities.

Statutory Authority G.S. 122C-26; 143B-147.

.0304 STAFF REQl IRED: ADLLTS AND
MINORS

(a) Staff shall include at least one qualified
mental health professional.

(b) Each program serving minors shall have
a program director who has a minimum of two
years' experience in child adolescent services
and who has educational preparation in ad-
ministration, education, social work, nursing,
psychology or a related field.

Statutory Authority G.S. 122C-26; 143B-147.

.0305 CLIENT/STAFF RATIO: MINORS

(a) A minimum of two staff members shall
be present with minor clients at all times and
a minimum ratio of one staff member to each
eight or fewer minor clients shall be main-
tained.

(b) In the event that only one minor client
is in the program, only one staff member is
required to be present.

Statutory Authority G.S. 122C-26; /43B-J47.

.0306 ROLE OF PHYSICIAN

A physician, preferably a psychiatrist, shall
participate in diagnosis, treatment planning,
and admission and discharge decisions.

Statutory Authority G.S. 122C-26; MSB- 147.

.0307 GROLP THERAPV

Group therapy shall be provided in each
program by a qualified mental health profes-
sional.

Statutory Authority G.S. 122C-26; 143B-I47.

.0308 TRAINING OF STAFF: PROGRAMS
SERVING MINORS

(a) Each program serving minors shall pro-
vide or secure preservice training for all staff.

(b) Each direct care staff assigned to the
program shall be trained to manage the clients
individually and as a group.

Statutory Authority G.S. 122G-26; 143B-147.

.0309 ROLE OF PARENTS/LEGALLY
RESPONSIBLE PERSON

(a) Parents or the legally responsible person
shall have the opportunity to participate in the

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PROPOSED RULES

development and implementation of the cli-
ent's individual treatment plan.

(b) A report shall be given to parents or the
legally responsible person when feasible at least
every three months. Reports may be in writ-
ing or take the form of a conference and shall
focus on the client's progress.

Statutory Authority G.S. 122C-26; I43B-147.

.0310 SCHEDULE OF DAILY ACTIVITIES:
PROGRAMS SERVING MINORS

Fach program serving minors shall have a
written schedule of daily activities posted in a
place accessible to patients and staff.

Statutory Authority G.S. 122C-26; 143B-147.

SECTION .0400 - PSYCHOSOCIAL

REHABILITATION PROGRAMS FOR

INDIVIDUALS WHO ARK CHRONICALLY

MENTALLY ILL

.0401 INTRODUCTION

A psychosocial rehabilitation program is a
day/night service which provides skill develop-
ment activities, educational services, and pre-
vocational training and transitional
employment services to individuals. Each
program is preferably organized around a sep-
arate and distinct community-based facility.
Services are designed primarily to serve indi-
viduals who have impaired role functioning
that adversely affects at least two of the fol-
lowing: employment, management of financial
affairs, ability to procure needed public sup-
port services, appropriateness of social behav-
ior, or activities of daily living. Assistance is
also provided to members in organizing and
developing their strengths and in establishing
peer groups and community relationships.

Statutory Authority G.S. 122C-26; MSB- 1 47.

.0402 HOLRS OF OPERATION

Each facility shall operate for a minimum of
five hours per day, five days per week, (exclu-
sive of transportation time), 12 months per
year.

Statutoiy Authority G.S. I22C-26; I43B-147.

.0403 STAFF REQUIRED

(a) Each facility shall have a designated pro-
gram director.

(b) A minimum of one staff member to each
eight or fewer clients in average attendance
shall be maintained.

Statutory Authority G.S. 122C-26; 1 43 B- 1 47.

.0404 SKILLS DEVELOPMENT

Each facility shall provide skills development
activities which include:

(1) community living, such as housekeeping,
shopping, cooking, use of transportation
facilities, money management;

(2) personal care such as health care, medi-
cation management, grooming;

(3) social relationships; and

(4) use of leisure time.

Statutoiy Authority G.S. I22C-26; 143B-147.

.0405 EDUCATIONAL SERVICES

(a) Each facility shall assist clients in securing
needed education services such as adult basic
education and special interest courses.

(b) Each facility offering on-site educational
programming shall have designated space for
classroom activities.

Statutoiy Authority G.S. 122C-26; 143B-I47.

.0406 PREVOCATIONAL SERVICES

Each facility shall provide or secure prevoca-
tional services which focus on the development
of positive work habits and participation in
work activities.

Statutory Authority G.S. 122C-26; 143B-147.

.0407 EMPLOYMENT SERVICES

(a) Each facility shall provide or secure
transitional or supported employment services
to facilitate client entry into competitive em-
ployment.

(b) When supported employment services
are provided, the following requirements shall
be met:

(1) Each client shall be one for whom
competitive employment has not tradi-
tionally occurred or has been inter-
rupted or intermittent as a result of
severe mental illness.

(2) Each client shall be employed in an in-
tegrated work setting for twenty or
more hours per week.

(3) Supported employment may be pro-
vided through:

(A) work stations for a group of eight or
fewer workers trained and supervised in
an industry or business;

(B) job coaching and supervision of in-
dividuals in an industry or business;

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PROPOSED RULES

munity under the training and super-
vision of a crew leader; and
(D) small business enterprises operated
with eight or fewer workers with train-
ing and supervision provided on site,
(c) When transitional employment services
are provided, the following requirements shall
be met:

(1) There shall be contract(s) between the
facility and employer for specific job(s)
and the job(s) shall first be performed
by a facility staff member to determine
the technical requirements of the job(s).

(2) The selection of clients to fill
placement(s) is the responsibility of the
facility and individual clients.

(3) Each client participating in transitional
employment shall be evaluated at the
end of six months to determine the ap-
propriateness of continuing to receive
transitional employment services.

(d| Wages shall be paid in accordance with
the hair Labor Standards Act for all clients
receiving supported employment and transi-
tional employment services.

Statutory Authority G.S. 122C-26; I43B-147.

SECTION .0500 - GROUP HOMES EOR

ADULT AND ELDERLY INDIVIDUALS WHO

ARE MENTALLY ILL

.0501 INTRODUCTION

(a) Group homes for individuals who are
mentally ill is a residential service designed to
provide a home within which staff assistance
is available to develop community living skills,
appropriate social behavior, vocational func-
tioning, leisure time activities and use of com-
munity resources. These group homes may
be provided by the following models:

( 1 ) transitional residence programs provid-
ing limited to moderate levels of super-
vision; and

(2) supervised group homes which provide
moderate to intensive supervision for
individuals who need assistance with
activities of daily living or to develop
community living skills.

(b) This service is designed to assist individ-
uals to progress toward specific sub-goals re-
lated to their individual treatment plan and is
designed primarily to serve mentally ill persons
who are 1 8 or older.

Statutory Authority G.S. I22C-26; 1 43 B- 1 47.

.0502 CAPACITY

Each home shall have a capacity of nine or
fewer individuals.

Statutory Authority G.S. I22C-26; I43B-I47.

.0503 HOURS OK OPERATION

Each home shall operate 24 hours per day,
seven days per week, 12 months per year un-
less all clients are, by choice, out of the pro-
gram for a 24-hour period or more.

Statutory Authority G.S. 122C-26; 143B-I47.

.0504 STAFE REQl IRED

(a) Supervised group homes shall have at
least one staff member on site at all times when
clients are present.

(b) In transitional residence programs, staff
should not be required to be present at all
times.

(c) The governing body shall ensure that
additional staff is present if needed to meet
temporary needs of individual clients and to
protect the health and safety of all clients.

Statutory Authority G.S. I22C-26; I43B-147.

.0505 TREATMENT COORDINATION

(a) Coordination shall be maintained be-
tween the group home operator and the quali-
fied mental health professional who is
responsible for treatment and/or case manage-
ment.

(b) Each home shall have a written agree-
ment documenting:

(1) access to psychiatric, medical and clin-
ical consultation and emergency psy-
chiatric services; and

(2) the responsibility of the group home
staff to implement specific portions of
each individual client's treatment plan.

Statutory Authority G.S. 122C-26: I43B-I47.

.0506 PROGRAM ACTIVITIES

(a) Clients shall participate in the overall
operation of the residence including partic-
ipation in routine activities such as mainte-
nance and meal preparation.

(b) Each home shall establish a resident
council that meets on a regularly scheduled
basis to discuss clients' responsibilities and is-
sues related to group home activities.

(c) Clients shall be involved in treatment,
rehabilitation, vocational, educational, or em-
ployment activities outside the residential pro-
gram on a regular basis as specified in clients'
individual treatment plans.

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PROPOSED RULES

Statutory Authority G.S. 122C-26; 143B-147.

.0507 LEVELS OF CLIENT SUPERVISION

(a) Each client of a transitional residence
program shall have a treatment plan developed
by a mental health professional which contains
documentation that the individual needs a res-
idential service with fewer than 24-hour per
day supervision and that the intensity of su-
pervision provided by the program is consist-
ent with the needs identified in the individual's
treatment plan.

(b) Each client of a supervised group home
shall have a treatment plan developed by a
qualified mental health professional which do-
cuments that the intensity of supervision pro-
vided by the program is consistent with the
needs identified in the individual's treatment
plan.

Statutory Authority G.S. 122C-26; 143B-147.

.0508 CLIENT TRAINING IN HEALTH AND
SAFETY

(a) Each client shall receive training con-
cerning safe and proper methods of using
kitchen and housekeeping equipment such as
knives, range, exhaust fan and other electrical
appliances.

(b) Each client shall have access to first aid
supplies located in each home and shall receive
training in the use of these supplies.

Statutory Authority G.S. 122C-26; 143B-147.

SECTION .0600 - RESIDENTIAL TREATMENT

FOR CHILDREN AND ADOLESCENTS WHO

ARE MENTALLY ILL

.0601 INTRODUCTION

(a) A residential treatment program for chil-
dren and adolescents is a residential service
which provides a structured living environment
for children and adolescents who are primarily
mentally ill and who may also be multi-handi-
capped and for whom removal from home is
essential to facilitate treatment. The service is
designed to address the functioning level of the
child/adolescent and includes training in
language/communication skills, social re-
lationships, and recreational skills. Some
children/adolescents may be able to receive
services in a day treatment program, have a job
placement, or attend public schools; for others,
special education services may need to be of-
fered within the residential setting. Different

levels of residential treatment programs are
provided to meet the individual needs of the
children and adolescents placed in the pro-
gram.

(b) If the adolescent has his/her 18th birth-
day while receiving treatment in a residential
program, he/she may continue in the program
for six months or until the end of the state fis-
cal year, whichever is longer.

Statutory Authority G.S. 122C-26; I43B-147.

.0602 STAFF REQUIRED

Each program shall have a director who has
a minimum of two years' experience in
child/adolescent services and who has educa-
tional preparation in administration, educa-
tion, social work, nursing, psychology or a
related field.

Statutory Authority G.S. 122C-26; 143B-147.

.0603 CLIENT/STAFF RATIO

(a) At all times, the following minimum
child/staff ratios shall be in effect:

( 1 ) one direct care staff member shall be
present with each four
children/adolescents; and

(2) if children/adolescents are cared for in
separate buildings, the ratios shall apply
to each building.

(b) When two or more clients are in the
program during waking and sleeping hours, the
emergency on-call staff shall be readily avail-
able by telephone or page and able to reach the
program within 30 minutes.

(c) When only one child/adolescent is in the
program, a minimum of one staff member
shall be on duty during waking and sleeping
hours.

Statutory Authority G.s. 122C-26; 143B-147.

.0604 TRAINING OF STAFF

(a) Each program shall provide or secure
pre-service training for all staff.

(b) Each direct care staff member assigned
to the program shall be trained to manage the
children/adolescents individually and as a
group.

Statutory Authority G.S. I22C-26; 143B-147.

.0605 TREATMENT PROGRAM

Each treatment program shall:

(1) address the functioning level of the
child/adolescent and shall include training
in language/communication skills, fine

NORTH CAROLINA REGISTER

1011

PROPOSED RULES

and gross motor skills, social relationship
skills and recreation skills; and
(2) include treatment and habilitation pro-
gramming based on client needs.

Statutory Authority G.S. I22C-26; MSB- 147.

.0606 EDUCATIONAL PROGRAMS

(a) Where clinically indicated, children ado-
lescents shall attend educational programs.

(b) Staff shall have conferences, at least
quarterly, with teachers or principals regarding
each child, adolescent.

(c) The child's adolescent's entrance into
different educational programs, or phases of
programs, shall be considered in terms of the
timing of changes and the potentially disrup-
tive effects such changes may have upon the
child adolescent.

Statutory Authority G.S. 122C-26; 143B-147.

.0607 SUMMER PROGRAM

Staff shall provide or secure day programming
for children adolescents whose educational
service does not extend through the summer
months.

(b| Both free play and organized outdoor
recreational activities shall be provided.

(c i Field trips and community experiences
shall be coordinated with individual treatment
plans.

Statutory Authority G.S. 122C-26; 143B-I47.

.0611 RESIDENTS' PARTICIPATION IN
HOUSEKEEPING ACTIVITIES

Children adolescents in the program shall be
involved in routine maintenance activities as is
appropriate to their clinical need.

Statutory Authority G.S. 122C-26; 143B-147.

.0612 PERSONAL HYGIENE

Instruction shall be provided in good health
practices pertaining to personal hygiene and
grooming.

Statutory Authority G.S. 122C-26; 143B-I47.

.0613 CLOTHING

Each child adolescent shall have his her own
clothing and shall have training and help in its
selection and care.

Statutory Authority G.S. 122C-26; 143B-I47.

.060X ROLE OE PARENTS/LEGALLY
RESPONSIBLE PERSON

(a) Parents or the legally responsible person
shall have the opportunity to participate in the
development and implementation of the cli-
ent's individual treatment plan.

Statutory Authority G.S. J22C-26; 143B-147.

.060*) PSYCHIATRIC/CLINICAL
CONSULTATION

(ai Psychiatric consultation shall be available
on an as needed basis to each client in the
program.

(b) Clinical consultation shall be provided
by a qualified mental health professional to
each program at least twice a month.

Statutory Authority G.S. 122C-26; 143B-147.

.0610 SCHEDULE OF DAILY ACTIVITIES

(a) Each program shall have a written sche-
dule ot daily activities posted in a place acces-
sible to children adolescents and staff.

Statutory Authority G.S. 122C-26; I43B-147.

SECTION .0700 - DAY TREATMENT FOR

CHILDREN AND ADOLESCENTS WHO ARE

EMOTIONALLY DISTURBED

.0701 INTRODLCTION

(a) Day treatment is a day/night service for
children and adolescents who are emotionally
disturbed which coordinates educational activ-
ities and intensive treatment while allowing the
individual to live at home or in the commu-
nity. This service is designed to increase ability
of the child or adolescent to relate to others
and function appropriately within the com-
munity while serving as an intervention to
prevent hospitalization or placement outside
the home or community. It provides a thera-
peutic environment as well as other activities
which may include individual therapy, group
therapy, recreational therapy, language com-
munication skills development, social skills
development, pre-vocational service, voca-
tional training, service to parents, and individ-
ual advocacy. The client's educational
activities may be provided in this program or
in another educational setting, such as regular
classes or special education programs within a
normal school setting.

(b) If the adolescent has his 18th birthday
while receiving treatment in a day treatment

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PROPOSED RULES

program, he/she may continue in the program
for six months or until the end of the state fis-
cal year, whichever is longer. If an older client
presents with needs developmentally charac-
teristic of this age group, he/she may be con-
sidered for admission,
(c) Day treatment programs may include
before/after school and summer programs, and
early intervention programs.

Statutory Authority G.S. 122C-26; 143B-147.

.0702 EXCLUSIONS FROM LICENSURE

A day treatment service shall be subject to li-
censure under G.S. 122C, Article 2, unless ex-
cluded from licensure thereunder.

Statutory Authority
J 43 B- 1 47.

G.S. I22C-22; 122C-26;

.0703 INDOOR ACTIVITY SPACE

The facility shall have indoor activity space.

Statutory Authority G.S. 122C-26; 143B-I47.

.0704 OUTDOOR ACTIVITY SPACE

Outdoor activity space shall be provided.
The outdoor space shall either be enclosed or
offer protection through natural barriers or
distance from potential dangerous conditions
or situations.

Statutory Authority G.S. I22C-26; I43B-I47.

.0705 STAFF REQUIRED

Each program shall have a program director
who has a minimum of two years' experience
in child/adolescent services and who has edu-
cational preparation in administration, educa-
tion, social work, nursing, psychology or a
related field.

Statutory Authority G.S. I22C-26; 143B-147.

.0706 CLIENT/STAFF RATIO

(a) A minimum of two staff members shall
be present with clients at all times except on
occasions when only one client is in the pro-
gram in which case only one staff member is
required to be present.

(b) A minimum ratio of one staff member
to each eight clients shall be maintained at all
times.

Statutory) Authority G.S. I22C-26; 143B-147.

.0707 TRAINING OF STAFF

(a) Each program shall provide or secure
pre-service training for all staff.

(b) Each direct care staff assigned to the
program shall be trained to manage the clients
individually and as a group.

Statutory Authority G.S. I22C-26; I43B-I47.

.0708 TREATMENT PROGRAM

I ach program shall address the functioning
level of the client and shall include at least
training in language/communication skills, fine
and gross motor skills, social relationship skills
and recreational skills.

Statutory Authority G.S. I22C-26; 143B-147.

.0709 EDUCATIONAL PLACEMENT

The responsible local education agency shall
approve the placement if the program is a de-
signated educational placement of school age
clients.

Statutory Authority G.S. I22C-26; 143B-147.

.0710 ROLE OF PARENTS/LEGALLY
RESPONSIBLE PERSON

(a) Parents or the legally responsible person
shall have the opportunity to participate in the
development and implementation of the cli-
ent's individual treatment plan.

Statutory Authority G.S. 122C-26; 143B-147.

.0711 PSYCHIATRIC CONSULTATION

Psychiatric consultation shall be available on
an as needed basis to each client.

Statutory Authority G.S. 122C-26; 143B-147.

.0712 SCHEDULE OF DAILY ACTIVITIES

Each program shall have a written schedule
of daily activities posted in a place accessible
to clients and staff.

Statutory Authority G.S. 122C-26; 143B-147.

SUBCHAPTER 14M - UICENSURE RULES

FOR MENTAL

RETARDATION/DEVELOPMENTAL

DISABILITIES FACILITIES

SECTION .0100 - SPECIALIZED

COMMUNITY RESIDENTIAL CENTERS FOR

INDIVIDUALS WITH MENTAL

RETARDATION OR OTHER

DEVELOPMENTAL DISABILITIES

NORTH CAROLINA REGISTER

1013

PROPOSED RULES

.0101 INTRODUCTION

A specialized community residential service
is a residential service which provides care,
treatment and developmental training for
mentally retarded or otherwise develop-
mentally disabled, multi-handicapped individ-
uals, children or adults, over an extended
period of time. Through integration of med-
ical sendees and close supervision, it is de-
signed to assist each individual to attain his her
highest level of independent living skills while
receiving care for his her physical needs. This
service may be certified for Medicaid as an In-
termediate Care Facility for the Mentallv Re-
tarded ( I CF MR).

Statutory Authority G.S. 122C-26; 143B-147.

.0102 CAPACITY

Facilities beginning operation subsequent to
the effective date of these Rules shall be de-
signed to serve no more than 30 clients at one
location.

Statutory Authority G.S. 122C-26; 143B-14?

.0107 CLIENT/STAFF RATIOS

(a) During waking hours, the following mi-
nimum client/staff ratios shall be in effect:

(1) regardless of the number of clients, a
minimum of two direct care staff mem-
bers shall be on duty in the building at
all times;

(2) a minimum of one direct care staff
member shall be on duty for each five
clients; and'

(3) if clients are cared for in separate build-
ings, the ratios shall apply to each
building.

(b) During sleeping hours, the following mi-
nimum client /staff ratios shall be in effect:

(1) one direct care staff member shall be
awake and on duty at all times and one
other staff member shall be on call in
the building;

(2) a minimum of one direct care staff
member shall be on duty for each ten
clients; and

(3) if clients are cared for in separate build-
ings, the ratios shall apply to each
building.

.0103 HOURS OF OPERATION

Each specialized community residential center
shall operate 24 hours per day, seven days per
week, 12 months per year.

Statutory Authority G.S. 122C-26; I43B-147.

.0104 BEDROOM SPACE

No more than six infants or children and no
more than four adults may share an individual
bedroom regardless of bedroom size.

Statutory Authority G.S. 122C-26; 143B-147.

.0105 QUALIFICATIONS OF DIRECTOR

Each program shall designate a director who
holds a baccalaureate level degree with spe-
cialization in administration, education, social
work, nursing, psychology or a related field or
who has comparable experience and education.

Statutory Authority G.S. 122C-26; MSB- 147.

.0106 M RS1NG STAFF

(a) At least one registered nurse or person
certified as a licensed practical nurse shall be
in the immediate area at all times.

(b) Each program shall have access to the
services of at least one registered nurse.

Statutory Authority G.S. J22C-2(>; I43B-J47.

Statutory Authority G.S. I22C-26; 143B-147.

.0108 MEDICAL CARE

Medical care shall be available on a 24-hour
basis for each client. Such care shall be pro-
vided by a program-designated physician or by
the client's private physician.

Statutory Authority G.S. 122C-26; 143B-147.

.0109 PERSONAL CARE

(a) Each client's personal hygiene needs shall
be met daily.

(b) Toilet articles shall be made available to
each client.

Statutory Authority G.S. 122C-26; 143B-147.

.01 10 DAILY TRAINING ACTIVITIES

(a) Daily training activities shall be scheduled
to meet the developmental needs of each client.

(b) Activities shall take into consideration
the length of time each client should be sche-
duled for needed rest periods, his her need for
individual attention, and special limitation of
activities and diets.

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iXORTH CAROLINA REGISTER

PROPOSED RULES

(d) Held trips and community experiences
shall be provided for individual clients.

(e) Daily routines common to non-handi-
capped clients shall he followed.

(f) Daily outdoor activities shall be planned
in acceptable weather when appropriate to the
health and physical needs of the client.

(g) When adults are served, vocational ser-
vices shall be provided unless there is doc-
umentation of medical contraindication.

Statutory Authority G.S. 122C-26; I43B-147.

.0111 MEDICAL STATEMENT

(a) Fach staff member who works directly
and on a regularly scheduled basis with clients
shall submit a medical statement from a li-
censed physician or an authorized health pro-
fessional under the supervision of a physician
to the program at the time of initial approval
and annually thereafter.

(b) The medical statement shall be in any
written form but shall indicate the general
physical and mental health of the individual
and the lack of evidence of active tuberculosis
and/or other communicable diseases.

Statutory Authority G.S. 122C-26; I43B-147.

ans as visits to the facility and the child's visits
with the parent(s) or the legally responsible
person outside the facility.

(e) Reports to parent(s) or the legally re-
sponsible person shall be submitted at least
annually. Reports may be in writing or take
the form of a conference and shall focus on the
child's progress toward meeting individual
goals.

Statutory Authority G.S. 122C-26; 143B-147.

SECTION .0200 - GROUP HOMES FOR

INDIVIDUALS WITH MENTAL

RETARDATION OR OTHER

DEVELOPMENTAL DISABILITIES AND
WITH BEHAVIOR DISORDERS

.0201 INTRODUCTION

Group homes for individuals with mental re-
tardation or other developmental disabilities
and behavior disorders is a residential service
which provides intensive behavioral treatment
in a homelike environment. This program is
designed to ameliorate the specific behavior
problem which is preventing the individual's
integration into habilitative programs in the
individual's home community. This service
may be certified for Medicaid as an Intermedi-
ate Care Facility for the Mentally Retarded
(ICF/MR).

.0112 PROVISION I OR INTERDISCIPLINARY
SERVICES

Interdisciplinary services, including medical,
nursing, dental, social work, physical therapy,
language communication therapy, education
and psychology, shall be available to the facil-
ity.

Statutory Authority G.S. 122C-26; MSB- 147.

.0113 PARTICIPATION OF THE FAMILY OR
LEGALLY RESPONSIBLE PERSON

(a) Facility staff shall help the family or le-
gally responsible person in understanding
mental retardation and other developmental
disabilities, their child's development, and the
extent of the child's handicap.

(b) Individual goal plans shall be developed
jointly between the facility staff and the child's
parent(s) or legally responsible person when
feasible.

(c) Family members or the legally responsi-
ble person shall be provided with the oppor-
tunity to participate m training seminars.

(d) Families or the legally responsible person
shall be encouraged to maintain an ongoing
relationship with their child through such me-

Statutory Authority G.S. 122C-26; 143B-147.

.0202 CAPACITY

(a) The home shall serve a maximum of five
clients.

(b) No home shall designate any bed for the
continuous provision of respite services.

Statutory Authority G.S. 122C-26; 143B-I47.

.0203 HOURS OF OPERATION

Fach group home shall operate 24 hours per
day, seven days per week, 12 months per year.

Statutory Authority G.S. I22C-26; I43B-147.

.0204 STAFF REQUIRED

(a) The home shall have a designated pro-
gram director/coordinator.

(b) At least one staff member, in addition to
the director, shall have received training in the
area of behavior modification through educa-
tional preparation in special education, psy-
chology or a closely related field.

NORTH CAROLINA REGISTER

1015

PROPOSED RULES

(d) Staff shall be employed to implement
habilitative programming, ineluding provisions
for accompanying clients on visits to their
home communities, and to conduct routine
cooking, cleaning and maintenance of the
home.

(e) The home shall provide or secure support
services of professionals as documented in each
individual goal plan.

Statutory Authority G.S. 122C-26; 1 43 B- 147

.0205 CLIENT/STAFF RATIOS

(a) When there are two or more clients in the
home, a minimum of two staff members shall
be on duty at all times.

(b) On occasions when only one client is in
the home, a minimum of one staff member
shall be on duty.

Statutory Authority G.S. 122C-26; 143B-147.

.0206 DAY SERVICES

Day services outside the home, such as edu-
cational and vocational training, shall be se-
cured for each client as specified in the
individual goal plan.

Statutory Authority G.S. I22C-26; I43B-147.

.0207 MEDICAL STATEMENT

(a) Each staff member who works directly
and on a regularly scheduled basis with clients
shall submit a medical statement from a li-
censed physician or an authorized health pro-
fessional under the supervision of a physician
to the program at the time of initial approval
and annually thereafter.

Statutory Authority G.S. I22C-26; 143B-147.

.0208 BEHAVIORAL PROGRAMMING

The primary emphasis in goal planning shall
be on the elimination of the specific problem
behaviors which precipitated the admission to
the group home. Other developmental and
habilitative goals shall also be addressed during
the client's stay at the group home.

Statutory Authority G.S. 122C-26; 143B-I47.

.0209 COMMUNITY RESOLRCES

In accordance with each client's individual
program plan, community resources shall be
utilized for each client including recreational,
medical, dental and religious resources.

Statutory Authority G.S. 122C-26; 143B-I47.

.0210 PARTICIPATION OF THE FAMILY OR
LEGALLY RESPONSIBLE PERSON

Each group home shall make efforts to in-
volve the family or legally responsible person
of each client in the planning and implemen-
tation of his individual goal plan.

Statutory Authority G.S. I22C-26; I43B-147.

SECTION .0300 - GROLP HOMES FOR

ADULTS WITH MENTAL RETARDATION OR

OTHER DEVELOPMENTAL DISABILITIES

.0301 INTRODUCTION

Group homes for adults with mental retarda-
tion or other developmental disabilities is a re-
sidential service which provides a normalized
home environment in which to incorporate
developmental training and habilitative pro-
gramming. This program is designed to pro-
mote independence of the residents in order for
them to live in a community-based setting.
Although group home residents may possess
basic self-help, socialization and other com-
munity living skills, they have not achieved the
degree of independence in these skill areas re-
quired for the supervised independent living
models such as a boarding home or apartment
living. Therefore, a group home is a more re-
strictive type of service than an apartment liv-
ing program. This service may be certified for
Medicaid as an Intermediate Care Facility for
the Mentally Retarded (ICF MR).

Statutory Authority G.S. 122C-26; 143B-147.

.0302 CAPACITY

The home shall have a capacity of nine or
fewer clients.

Statutory Authority G.S. J22C-26: 143B-147.

.0303 COMPLIANCE WITH GROLP HOME
STANDARDS

(a) The standards for private group homes
for developmental!}" disabled adults as defined
in the manual titled "Minimum and Desired
Standards and Regulations for Group Homes
for Developmental^ Disabled Adults" (10
NCAC 42B .0900 -' .2300) published by the
N.C. Department of Human Resources shall

1016

\ORTH CAROLINA REGISTER

PROPOSED RULES

also apply to area operated group homes op-
crated bv a public agency except for Sections
.1000, .2200 and .2300 of Subchapter 10
NCAC 42B and with the exception outlined in
(b) of this Rule. This publication is available
free of charge from the N.C. Department of
Human Resources. Division of Social Services,
325 N. Salisburv Street, Raleieh. N.C. 27611.
(b) The provision in 10 NCAC 42C .2401
(which is cross-referenced in 10 NCAC 42B
.1701) that prohibits the admission of people
"with disease in a communicable stage or car-
rier state" shall not prohibit the admission of
residents who are hepatitis B carriers to a
home operated by a public agency if the home
is in compliance with the Rules codified in 10
NCAC 1811 .0107 through .0115; HEPATI-
TIS B SCREENING AND VACCINATION
Ol RESIDENTS AND DIRECT CARE
EMPLOYEES IN GROUP HOMES FOR
MENTALLY RETARDED ADULTS.

Statutory Authority G.S. I22C-26; 143B-147.

.0304 MEDICAL STATEMENT

Statutory Authority G.S. 122C-26; 143B-147.

SECTION .0400 - GROUP HOMES FOR

CHILDREN WITH MENTAL RETARDATION

OR OTHER DEVELOPMENTAL

DISABILITIES

.0401 INTRODUCTION

Group homes for children with mental retar-
dation or other developmental disabilities is a
residential service which provides a normalized
home environment for children who are not
living with their families. This program is de-
signed to assist each child in residence to attain
his highest level of independent living skills
through developmental training integrated with
family and community activities to prepare the
child for residence with his own family or other
less restrictive environment.

Statutory Authority G.S. I22C-26; I43B-I47.

.0402 CAPACITY

(a) The home shall serve no more than five
children at any one time.

(b) No home shall designate any bed for the
continuous provision of respite services.

Statutory Authority G.S. 122C-26; /43B-J47.

.0403 HOURS OF OPERATION

Each group home shall operate 24 hours per
day, seven days per week, 12 months per year.

Statutory Authority G.S. 122C-26; I43B-I47.

.0404 STAFF REQUIRED

(a) The home shall have a designated pro-
gram director coordinator.

(b) A minimum of one staff member shall
have educational preparation in at least one of
the following areas: special education, social
work, psychology, child development, nursing,
recreational therapy, occupational therapy, or
language and communication therapy.

(d) The home shall provide or secure the
services of support professionals as needed in-
cluding a psychologist, social worker, physi-
cian, dentist, physical therapist and
language/communication specialist.

Statutory Authority G.S. I22C-26; 143B-I47.

.0405 CHILD/STAFF RATIOS

(a) During waking hours when children are
in the home, a minimum of two staff members
shall be on duty.

(b) During sleeping hours, a minimum of
two staff members shall be in the immediate
area unless emergency backup procedures are
sufficient to allow only one staff member on
duty. In such instances, minimum acceptable
emergency procedures include written agree-
ments with emergency medical transport ser-
vices; the availability of on-call emergency
backup that can arrive at the home within
twenty minutes; and notification to parcnt(s)
or legally responsible person that one staff
member may be on duty during sleeping hours.

(c) On occasion when only one child is in
home, a minimum of one staff member shall
be on duty during waking and sleeping hours.

Statutory Authority G.S. 122C-26; 143B-I47.

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PROPOSED RULES

.0406 PERSONAL CARE

(a) Each child's personal hygiene needs shall
be met daily.

(b) Toilet articles shall be made available to
each child.

Statutory Authority G.S. 122C-26; 143B-I47.

.0407 DAILY TRAINING ACTIVITIES

(a) Staff shall provide daily training activities
in the home which are designed to meet the
developmental needs of each child.

(1) Activities shall take into consideration
the length of time each child needs rest
periods, his need for individual atten-
tion, and special limitations of activities
and diets.

(2) Both free play and organized recre-
ational activities shall be provided.

(3) Field trips and community experiences
shall be provided.

(4) Daily routines common to non-handi-
capped children shall be followed.

(b) The staff shall provide or secure day
programming for children whose educational
programming does not extend through the
summer months.

Statutory Authority G.S. 122C-26; 143B-147.

.0408 MEDICAL STATEMENT

(b) The medical statement shall be in any
written form but shall indicate the general
good physical and mental health of the indi-
vidual and the lack of evidence of active tu-
berculosis and or other communicable
diseases.

Statutory Authority G.S. I22C-26; I43B-I47.

.0409 COMMl MTY RESOURCES

In accordance with each child's individual
program plan, community resources shall be
utilized for each client including educational,
recreational, medical, dental and religious re-
sources.

Statutory Authority G.S. I22C-26; I43B-I47.

.0410 PARTICIPATION OF THE FAMILY OR
LEGALLY RESPONSIBLE PERSON

(a) Program staff shall help the family in
understanding mental retardation and other
developmental disabilities, the child's develop-
ment, and the extent of the child's handicap.

(b) Individual goal plans shall be developed
jointly between the program staff and the cli-
ent's parent(s) or legally responsible person
when feasible.

(d) Families shall be encouraged to maintain
an ongoing relationship with their child
through such means as family visits to the
group home, and the child's visits with the
parent(s) or legally responsible person outside
the group home.

(e) Reports to parents or legally responsible
person shall be submitted in writing at least
quarterly, when feasible, with the opportunity-
extended to parent(s) or legally responsible
person for participation in at least one confer-
ence annually.

Statutory Authority G.S. I22C-26; 143B-147.

SECTION .0500 - BEFORE/AFTER SCHOOL

AND SUMMER DEVELOPMENTAL DAY

SERVICES FOR CHILDREN WITH MENTAL

RETARDATION OR OTHER

DEVELOPMENTAL DISABILITIES

.0501 INTRODUCTION

(a) Before, after school developmental day
services for children with mental retardation,
or other developmental disabilities, are day
services which provide individual habilitative
programming and recreational activities for
school aged children. Services are provided
preceding and following the school day during
the months of local school operation and are
designed to meet developmental needs of the
children as well as the child care needs of fam-
ilies. Before after school services may be pro-
vided as a component of a developmental day
center which serves preschool children or may
be provided as a separate component.

(b) Summer developmental day programs for
children with mental retardation, or other de-
velopmental disabilities, are day programs
which provide individual habilitative program-
ming and recreational activities in a licensed
child care center for school-aged children dur-
ing the summer period when they are not par-
ticipating in educational activities. This

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program is designed to promote continuing
progress in acquiring developmental skills such
as self-help, fine and gross motor, language and
communication, cognitive and social skills, in
order to facilitate functioning in a less restric-
tive environment. The program is also de-
signed to meet child care needs of families.

( 1) these services are provided as a separate
free standing component which is not
in the same facility as a developmental
day center for preschool children li-
censed under G.S. Chapter 110, Article
7; and

(2) these services are offered for a total of
four hours per day or less.

Statutory Authority G.S. 122C-26; 143B-I47.

.0502 HOURS OF OPERATION

(a) Each before/after school developmental
day service shall be available for a minimum
of three hours per day (exclusive of transpor-
tation time), five days per week, during the
months of local school operation.

(b) Each summer developmental day service
shall be available for a minimum of eight hours
per day (exclusive of transportation time), five
days per week, during the weeks in which local
school operation is closed for summer break.

Statutory Authority G.S. 122C-26; 143B-147.

.0503 INDIVIDUAL AND GROUP SPACE

Space shall be available for small groups and
individualized training as follows:

(1) Special interest areas shall be provided to
enhance the development of individual
children.

(2) Space for indoor physical activities shall
be available for the provision of those ac-
tivities enhancing gross motor develop-
ment.

Statutory Authority G.S. I22C-26; 14311- 147.

.0504 CLASSROOM AND ACTIVITY SPACE

(a) A ratio of 50 square feet per child shall
be available for indoor classroom and activity
space, exclusive of space occupied by sinks,
lockers, storage cabinets and other fixed
equipment.

(b) Space shall be available for small groups
and individualized training as follows:

(1) Special interest areas shall be provided
to enhance the development of individ-
ual children.

(2) Space for indoor physical activities shall
be available for the provision of those
activities enhancing gross motor devel-
opment.

Statutory Authority G.S. 122C-26; 143B-147.

.0505 OUTDOOR ACTIVITY SPACE

Outdoor activity space shall be available in
the ratio of 200 square feet per child scheduled
to use the area at any one time. The outdoor
space shall either be enclosed or offer pro-
tection through natural barriers or distance
from potentially dangerous conditions or situ-
ations.

Statutory Authority G.S. 122C-26; 143B-147.

.0506 PROGRAM DIRECTOR

(a) Each developmental day center shall have
a designated program director.

(b) The program director shall hold a bach-
elor level degree with specialization in admin-
istration, education, social work, nursing,
psychology or a related field or have compara-
ble experience and education.

Statutory Authority G.S. 122C-26; I43B-I47.

.0507 AGE OF STAFF

Each staff member except student trainees
and supervised volunteers shall be at least 18
years of age and the director shall be at least
21 years of age.

Statutory Authority G.S. 122C-26; 143B-147.

.0508 STAFF REQUIREMENTS

(a) Staff shall provide continuous supervision
of each child.

(b) A minimum of two staff members shall
provide direct child care at all times.

Statutory Authority G.S. 122C-26; 143B-147.

.0509 PARTICIPATION OF THE FAMILY/
LEGALLY RESPONSIBLE PERSON

The center shall provide or secure opportu-
nities for parent(s) or the legally responsible
person to attend individual or group activities.

Statutory Authority G.S. 122C-26; 143B-I47.

.0510 DAILY TRAINING ACTIVITIES

(a) Daily training activities designed to meet
the developmental needs of each child shall be
scheduled and conducted.

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PROPOSED RULES

(b) Activities shall be planned around the
following principles:

( 1 ) Group and individual activities, related
to individual goal plans, shall be sched-
uled daily.

(2) Field trips and community experiences
shall be coordinated with the goal plans
for individual children.

Statutory Authority G.S. 122C-26; I43B-147.

.051 1 GROUPING OF CHILDREN

Grouping of children shall allow for attending
to the individual needs of each child. The
following principles shall be observed when
grouping children:

(1) the younger the children, the smaller the
group;

(2) the more delayed the children, the smaller
the group;

(3) the greater the number of physically
handicapped children, the smaller the
group; and

(4) the wider the chronological age group,
the smaller the group.

Statutory Authority G.S. 122C-26; 143B-147.

.0512 MEDICAL STATEMENT

Statutory Authority G.S. 122C-26; 143B-147.

SECTION .0600 - ADULT DEVELOPMENTAL

ACTIVITY PROGRAMS FOR INDIVIDUALS

WITH SUBSTANTIAL MENTAL

RETARDATION: SEN ERE PHYSICAL

DISABILITIES OR OTHER SUBSTANTIAL

DEVELOPMENTAL DISABILITIES

.0601 INTRODUCTION

(a) An adult developmental activity program
(ADAP) is a day 'night service which provides
organized developmental activities for adults
with substantial mental retardation, severe
physical disabilities or other substantial devel-

opmental disabilities to prepare the individual
to live and work as independently as possible.
The activities and services of an ADAP are
designed to adhere to the principles of nor-
malization and community integration aimed
at increasing age-appropriate actions, images
and appearance of the individual.

(b) An ADAP offers a diverse variety of
specific services and activities. These include
personal and community living skill develop-
ment, adult basic education, training in the
cognitive, communication and motor skills,
use of leisure time, vocational evaluation and
adjustment and work activity training. The
amount of time devoted to these areas varies
considerably depending upon the needs of the
clients served.

Statutory Authority G.S. J22C-26; 143B-147.

.0602 COMPLIANCE WITH OTHER RULES

An adult developmental activity program
shall be subject to licensure under G.S. 122C,
Article 2 unless provided by a sheltered work-
shop subject to the rules of the North Carolina
Division of Vocational Rehabilitation Services.

Statutory Authority G.S. 122C-26; 143B-147.

.0603 HOURS OF OPERATION

Except for clients participating in supported
employment, ADAP services shall be available
for client attendance at least six hours per day
(exclusive of transportation time), five days per
week, 12 months per year.

Statutory Authority G.S. 122C-26; 143B-147.

.0604 PHYSICAL PLANT REQUIREMENTS

(a) Each facility shall be inspected annually
by an outside safety consultant with written
documentation and follow-up on recommen-
dations.

(b) Each facility shall be designed and
equipped to promote the training and adult
status of clients.

(c) Each facility shall eliminate architectural
barriers which prohibit access to the building
and use of equipment and facilities.

(d) Each facility shall provide adequate toilet
facilities and drinking fountains for clients.

Statutory Authority G.S. 122C-26; 143B-147.

.0605 PROVISION FOR CLASSROOM SPACE

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Each facility shall have designated space for
classroom activities.

Statutory Authority G.S. I22C-26; 143B-147.

.0606 PROGRAM DIRECTOR
/COORDINATOR

(a) Each A DAP shall have a designated
full-time program director/coordinator.

(b) The program director coordinator shall
be at least a high school graduate or equivalent
with three years of experience in mental retar-
dation programming, but preferably a college
degree with at least one year of experience in
mental retardation programming.

Statutory Authority G.S. 122C-26; 143B-147.

.0607 CLIENT/STAFF RATIO

Each ADAP shall maintain an overall direct
service ratio of at least one full-time or full-
time equivalent direct care staff member for
each ten or fewer clients.

Statutory Authority G.S. I22C-26; 143B-147

.0608 CLIEN1 EVALUATOR

(a) At least one staff member shall be desig-
nated as a client evaluator.

(b) The client evaluator shall have a high
school diploma, but preferably a college de-
gree, and shall have completed a five day in-
service training program in the evaluation
component of a certified ADAP or in another
training program approved bv the
DMH/MR/SAS.

Statutory Authority G.S. 122C-26; 143B-147.

.0609 ACTIVITIES AND SERVICES

(a) ADAP activities and services shall be
designed and implemented with adherence to
the principles of normalization.

(b) Community integration activities shall
be provided in groups of two to three persons
whenever possible.

(d) Activities and services shall be directed
toward the preparation of substantially hand-
icapped adults to five as independently as pos-
sible.

teach them the principles of accident pre-
vention and control of specific hazards. The
program shall include training for clients in
personal, work and environmental safety.

Statutory Authority G.S. 122C-26; 143B-147.

.0611 SAFETY COMMITTEE

(a) A safety committee comprised of staff
members and client representatives shall be
appointed to review accident reports and to
monitor the ADAP for safety.

(b) The safety committee shall meet at least
quarterly.

(c) Minutes shall be kept of all meetings and
submitted to the director coordinator with re-
commendations for needed changes.

Statutory Authority G.S. 122C-26; 143B-147.

.0612 BUSINESS PRACTICES

(a) Supplies, materials or tools, if provided
by the ADAP, shall be identified as a separate
amount in the bid price.

(b) Wages paid to ADAP clients shall be on
a piece rate or hourly commensurate wage.

(c) Each client involved in productive work
shall receive a written statement for each pay
period which indicates gross pay, hours
worked and deductions.

(d) Prices for goods produced in the ADAP
shall be equal to or exceed the cost of pro-
duction (including commensurate wages, over-
head, tools and materials.)

Statutory Authority G.S. 122C-26; 143B-147.

.0613 ACCIDENT REPORTING

A written plan shall be established for the re-
porting of all accidents that occur during
ADAP activities, whether or not they give rise
to injuries requiring medical treatment. The
accident report shall contain the following in-
formation:

( 1) identity of persons involved;

(2) place of accident;

(3) time of accident;

(4) name of responsible supervisor;

(5) description of the accident; and

(6) emergency services rendered.

Statutory Authority G.S. I22C-26; 143B-147.

.0610 SAFETY EDUCATIONAL PROGRAM
Each ADAP shall provide an ongoing educa-
tional program for staff and clients designed to

.0614 PROMOTION OF CLIENTS' RIGHTS

Clients shall be counseled concerning their
rights and responsibilities as participants in the
program in such matters as wages, hours,
workina conditions, social securitv, redress for

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PROPOSED RULES

injury, and the consequences of their own tor-
tuous or unethical conduct.

Statutory Authority G.S. 122C-26; I43B-147.

.0615 USE OF PUBLIC TRANSPORTATION
BY CLIENTS

Clients served by the ADAP shall be encour-
aged to use public transportation if available.

Statutory Authority G.S. I22C-26: 143B-I47.

.0616 SUSPENSIONS AND DISMISSALS

(a) Each ADAP shall establish written crite-
ria and procedures for client suspensions and
dismissals.

(b) Dismissal shall be the result of a staff
assessment which shall include, but not be
limited to, those behavior(s) judged to be
harmful to self or others.

(c) Suspensions shall be the result of a staff-
ing process and shall be for a specified time
period, with all suspensions reported to the
referral agency if the agency has maintained an
active relationship with the client since the
time of referral.

Statutory Authority G.S. I22C-26: I43B-147.

SECTION .0700 - COMMUNITY RESPITE

SERVICES FOR INDIVIDUALS WITH

MENTAL RETARDATION: OTHER

DEVELOPMENTAL DISABILITIES:

DEVELOPMENTAL DELAYS OR AT RISK

FOR THESE CONDITIONS

.0701 INTRODUCTION

(a) Community respite is a support service
which provides periodic relief for a family or
family substitute on a temporary basis. While
overnight care is available, community respite
may be provided for periods of less than 24
hours on a day or evening basis. Respite care
may be provided by the following models re-
quiring licensure under the provisions of G.S.
122C, Article 2:

(1) Center-based respite is a support service
in which the individual is served at a
designated facility which has potential
for overnight care. While an overnight
capacity is generally a part of this ser-
vice, a respite center may provide re-
spite services to individuals for periods
of less than 24 hours on a day or even-
ing basis.

(2) Private home respite is a support service
in which the governing body provides
respite services to individuals in the

provider's home on an hourly or over-
night basis directly or by contract,
(b) Private home respite services are subject
to licensure under G.S. 122C, Article 2 when
the private home of a community citizen is
approved for care for one or two children with
a developmental disability or two adults with
a developmental disability for a cumulative
period of time exceeding 240 hours per calen-
dar month. When more than two individuals
are served concurrently for any length of time,
the services are subject to licensure.

Statutory Authority G.S.
122C-26; 143B-147.

122C-22(a) (8);

.0702 POPULATION SERVED

Each respite facility shall be designed to serve
individuals with mental retardation or other
developmental disabilities, developmental de-
lays, atypical development or those at risk for
these conditions.

Statutory Authority G.S. 122C-26; 143B-147.

.0703 PHYSICAL PLANT REQUIREMENTS

(a) A minimum of one ionized smoke de-
tector wired into the house current shall be
installed and centrally located. Additional
smoke detectors that are not wired into the
house current shall be checked at least monthly
by the provider.

(b) A dry powder or CO(2) type fire extin-
guisher shall be located in the kitchen and shall
be checked at least annually by the local fire
department. Each provider of respite care shall
receive instruction in its use prior to the initi-
ation of service.

Statutory Authority G.S. 122C-26; 1 43 B- 1 47.

.0704 PROGRAM DIRECTOR
/COORDINATOR

(a) Each governing body shall designate a
program coordinator/director.

(b) The program director/coordinator shall
have an educational background in social
work, education, nursing, psychology or re-
lated health field; or shall have at least two
years' experience in human service programs,
preferably in mental retardation or other de-
velopmental disabilities.

Statutory Authority G.S. I22C-26; 143B-I47.

.0705 ACE OF STAFF MEMBERS

The program director coordinator shall be at
least 21 years of aae. All other staff shall be

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PROPOSED RULES

at least 18 years of age except those who are
16 or 17 years of age and who are working di-
rectly under the supervision of an experienced
employee.

Statutory Authority G.S. 122C-26; 143B-147.

.0706 FAMILY SERVICES COORDINATOR

At least one staff person of the respite service
shall be designated to assist parent(s) or the
legally responsible person in making applica-
tion for respite care, in detailing the service
delivery plan for each respite episode, and in
coordinating the activities of the service with
family life.

Statutory Authority G.S. 122C-26; 143B-I47.

.0707 PERSONAL CARE

Other than during short episodes of respite
(less than 24 hours), activities of daily living
common to non-handicapped individuals shall
be followed.

Statutory Authority G.S. 122C-26; I43B-147.

.0708 LENGTH OF STAY

Each governing body shall establish a written
policy regarding the minimum and maximum
lengths of service for each respite episode, as
well as the frequency that individuals may use
the service.

Statutory Authority G.S. 122C-26; 143B-147.

.0709 RESPITE ACTIVITIES

(a) Activities shall emphasize maturation of
children and independence of adults, supple-
menting the services being provided by other
programs and by parcnt(s) or the legally re-
sponsible person.

(b) Activities shall be planned daily and shall
take into consideration the length of time each
client should be scheduled for needed rest pe-
riods, the need for individual attention, and
special limitations of activities and diet.

(c) Activities shall be designed to provide
each client with learning opportunities, recre-
ation, reinforcement of self-help skills, lan-
guage skills, socialization, motor coordination
and methods which have been successful in
other settings or arc associated with the client's
family life.

(d) Toys and leisure materials shall be ac-
cessible to clients.

Statutory Authority G.S. 122C-26; 143B-I47.

.0710 MEDICAL STATEMENT

(a) Each respite care provider, student intern,
regular volunteer, substitute staff, or other in-
dividual who works directly and on a contin-
uous basis with clients shall submit a medical
statement from a licensed physician at the time
of initial approval and annually thereafter.

(b) The medical statement shall be in any
written form but shall be signed by the physi-
cian and indicate the general physical and
mental health of the individual and the lack of
evidence of active tuberculosis and communi-
cable diseases.

Statutory Authority G.S. 122C-26; 143B-I47.

.071 1 CENTER-BASED RESPITE: STAFF
REQUIRED

(a) During waking hours, when five or fewer
clients are in the center, a minimum of two
staff members shall be on duty. If more than
five clients are being served, a staff/ client ratio
of 1:5 shall be maintained.

(b) During sleeping hours, a minimum of
two staff members shall be available in the
immediate area unless emergency backup pro-
cedures are sufficient to allow only one staff
member on duty. In such instances, minimum
acceptable emergency procedures include writ-
ten agreements with emergency medical trans-
port services; the availability of on-call
emergency backup that can arrive at the center
within 20 minutes; and notification to
parent(s) or the legally responsible person that
only one staff member may be on duty during
sleeping hours.

(c) On occasions when only one client is in
the center, a minimum of one staff member
shall be on duty during waking and sleeping
hours.

Statutory Authority G.S. 122C-26; I43B-147.

.0712 CENTER-BASED RESPITE: CLIENT'S
HEALTH

(a) Each client shall be observed by staff for
signs of illness or injury at the beginning of
each respite episode.

(b) Each client who becomes ill shall be se-
parated from other clients until he/she leaves
the center or until it is determined that he/she
is free of communicable disease.

Statutory Authority G.S. I22C-26; 143B-147.

.0713 PRIVATE HOME RESPITE: PROVIDER
APPLICATION

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PROPOSED RULES

Each governing body shall maintain an ap-
plication for each provider at the facility where
respite services are provided including the fol-
lowing:

( 1 ) full name of each person living in the
home;

(2) place, telephone number and hours of
employment for each individual at the fa-
cility who will be providing respite care;

(3) address, directions to, and telephone
number of residence:

(4) sleeping arrangements for the respite cli-
ent:

( 5) preference of time when respite care can
be provided;

(6) age preference of respite clients; and

(7) whether males and females can be served.

Statutory Authority G.S. 122C-26; I43B-147.

.0714 PRIVATE HOME RESPITE: PROVIDER
TRAINING

Each facility providing respite care shall have
at least on adult member who has completed
the pre-service training program prescribed by
the governing body. Training may include a
basic understanding of developmental disabili-
ties, basic first aid and seizure management.

Statutory Authority G.S. 122C-26: 143B-147.

.0715 PRIVATE HOME RESPITE:

AGREEMENT WITH PROVIDERS

(a) Each governing body shall have a written
agreement signed by each provider of private
home respite care.

(b) The provisions of the agreement shall
include:

(1) the responsibilities of the governing
body and the provider(s) of respite care;

(2) confidentiality requirements:

(3) procedures for securing emergency ser-
vices;

(4) program activities to be implemented;

(5) responsibilities for supervising the re-
spite client;

(6) procedures related to administration of
medications;

(7) participation in respite training pro-
grams; and

(8) terms of compensation.

(c) A signed copy of the agreement shall be
maintained by the governing body, and a
signed copy shall be given to the provider.

Statutory Authority G.S. /22C-26: 143B-I47.

.0716 PRIVATE HOME RESPITE:

RESPONSIBILITIES OE GOVERNING

BODV

(a) Each governing body shall attempt to
match the client's needs with the provider's
ability to provide respite care.

(b) A written statement of duties and re-
sponsibilities during each episode of respite
care shall be provided to the respite provider:

(1) This statement shall include length of
service to be provided, medications to
be administered, and special dietarv
considerations.

(2) If the respite client is involved in a de-
velopmental or occupational program,
the respite provider shall be provided
written information regarding responsi-
bilities for assuring that the client at-
tends the program and for structuring
activities at the respite facility to en-
hance objectives established by the de-
velopmental or occupational program.

(c) The governing body shall provide each
respite provider with a form for recording ill-
ness, accident, or medical concern, including
administration of medication. Following each
respite episode, this form shall be maintained
by the governing body in the client's record.

(d) The governing body shall be responsible
for a pre-service training program for respite
providers. Content of training may include a
basic understanding of mental retardation and
other developmental disabilities, first aid pro-
cedures and seizure management.

(e) At least one approved respite provider
shall supervise the respite client at all times.

(f) The respite program director coordinator
shall review with the provider the plan for
emergency evacuation of the home prior to
accepting respite clients.

(g) Only the respite director coordinator or
his designee shall arrange respite care between
the client's family and the respite provider.

Statutory Authority G.S. J22C-26: 143B-147.

SUBCHAPTER 14N - LICENSURE RULES
FOR SUBSTANCE ABUSE FACILITIES

SECTION .0100 - INPATIENT HOSPITAL

TREATMENT FOR INDIVIDUALS WHO ARE

SUBSTANCE ABUSERS

.0101 INTRODUCTION

Inpatient hospital treatment is an inpatient
substance abuse service which provides care,
treatment and rehabilitation on a continuous,
short-term basis in an intensive, 24-hour per
day hospital setting. These programs are gen-
erally known as "28-day" programs even
though length of stay is not limited to 2S days.

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Counseling services are provided with sup-
portive nursing and medical care and treatment
by other professionals as needed. If these fa-
cilities provide detoxification services, they
shall comply with the applicable rules for de-
toxification in this Subchapter. Inpatient
hospital treatment programs include the fol-
lowing:

(1) a substance abuse unit within a psychi-
atric hospital or an attached or free-
standing substance abuse unit of a
psychiatric hospital licensed under the
provisions of G.S. 122C, Article 2; and

(2) a free-standing hospital specializing in
substance abuse treatment licensed under
the provisions of G.S. 122C, Article 2.

Statutory Authority G.S. 122C-26; 143B-147.

.0102 HOURS OF OPERATION

Each program shall operate 24 hours per day,
seven days per week, 12 months per year.

Statutory Authority G.S. 122C-26; 143B-147.

.0103 STAFFING REQUIREMENTS

(a) The program shall have a designated
medical director.

(b) A physician shall be present in the pro-
gram or on call 24 hours per day. The treat-
ment of each client shall be under the
supervision of a physician.

(c) The staff shall include a minimum of one
full-time certified alcoholism, drug abuse or
substance abuse counselor for every ten or
fewer clients. If the program falls below this
prescribed ratio and cannot meet the pre-
scribed ratio by employing a counselor who is
certified, then it may employ an uncertified
counselor as long as this individual meets the
certification requirements within a maximum
of 24 months from the date of employment.

(d) At least one registered nurse shall be on
duty during each shift.

(e) At least two direct care staff members
shall be on duty at all times. One direct care
stall member for each 20 or fewer clients shall
be on duty at all times in adult programs. In
facilities that serve minors, a minimum of one
staff member for each five or fewer minor cli-
ents shall be on duty during waking houK->
when minor clients are present.

Statutory Authority G.S. 122C-26; 143B-147.

.0104 STAFF TRAINING

Each program shall have and implement
written policies and procedures for staff train-
ing. Requirements shall include the following.

( 1 ) Each staff member shall have a training
needs assessment completed annually and
documented.

(2) Each staff member shall have a training
plan completed annually and documenta-
tion of all training provided shall include
the following:

(a) Each direct care staff member shall re-
ceive continuing education to include
understanding of the nature of ad-
diction, the withdrawal syndrome,
group therapy, family therapy and other
treatment methodologies.

(b) Each direct care staff in a program that
serves minors shall receive specialized
training in youth development and
therapeutic techniques in working with
youth.

(i) cardio -pulmonary resuscitation;

(ii) the Heimlich maneuver or other Red
Cross first aid techniques for relieving
airway obstructions;

(iii) seizure management;

(iv) basic first aid;

(v) substance abuse withdrawal symp-
toms; and

(vi) symptoms of secondary compli-
cations to substance abuse.

(3) Attendance at training activities shall be
documented for each staff member.

Statutory Authority G.S. 122C-26; 143B-147.

.0105 PROGRAM PLAN DESCRIPTION

Each program shall have written policies and
procedures which address both minors and
adults and which specify the following:

( 1 ) the philosophy of the treatment program;

(2) a statement of purpose for the program,
including its goals and objectives;

(3) a description of the services offered; the
population served, including age groups
and other relevant characteristics of the
patient population; and the methods of
delivering services (e.g., group therapy,
didactic presentations, tapes, individual
counseling);

(4) a daily schedule of therapeutic activities;

(5) a description of services offered for the
family and significant others and how
these individuals are involved in the treat-
ment process; and

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PROPOSED RULES

(6) a description of how clients and family
members are linked in their home com-
munities with Alcoholics Anonymous,
Narcotics Anonymous, Al-Anon and
other programs and referral sources.

Statutory Authority G.S. 122C-26: 143B-W.

.0106 EMERGENCY MEDICAL SERVICES

Each facility shall have and implement writ-
ten procedures for handling emergency ser-
vices. These procedures shall include
provision for the following:

( 1 ) immediate access to a physician;

(2) acute care hospital services; and

(3) assistance from a local ambulance service,
rescue squad or other trained medical
personnel within 20 minutes of the ser-
vice.

Statutory Authority G.S. 122C-26: 143B-147.

.0107 MEDICAL AND PSYCHIATRIC CARE
AND SERVICES

Medical and psychiatric care and services
shall be provided according to the following:

( 1 ) A physician who has at least two years'
experience in the treatment of substance
abuse shall be designated as the medical
director of the program.

( 2 ) The medical director shall have the ove-
rall responsibility for medical services;
however, medical care and treatment of
specific clients may be delegated to an-
other physician on the professional staff
of the program.

(3) Medical psychiatric care and services or
consultation shall be available to each cli-
ent as needed.

Statutory Authority G.S. I22C-26; I43B-I47.

SECTION .0200 - NONHOSPITAL MEDICAL

DETOXIFICATION FOR INDIVIDUALS WHO

ARE SUBSTANCE ABUSERS

.0201 INTRODUCTION

Nonhospital medical detoxification is a resi-
dential service which provides medical treat-
ment and supportive services under the
supervision of a physician. This service is de-
signed to withdraw an individual from alcohol
or other drugs and to prepare him her to enter
a more extensive treatment and rehabilitation
program.

Statutory: Authority G.S. I22C-26; 143B-I47.

.0202 HOURS OF OPERATION

Each service shall operate 24 hours per day.
seven days per week. 12 months per year.

Statutory Authority G.S. 122C-26; 143B-J4' 7 .

.0203 STAFF REQUIRED

(a) A minimum of one direct care staff
member shall be on duty at all times for every
rune or fewer clients.

(b) The treatment of each client shall be
under the supervision of a physician.

(c) The services of a certified alcoholism
counselor, a certified drug abuse counselor or
a certified substance abuse counselor shall be
available on an as-needed basis to each client.

Statutory Authority G.S. J22C-26; 143B-I4' 7 .

.0204 STAFF TRAINING

(aj Each facility shall have at least one staff
member on duty trained in the following areas:

( 1) monitoring of vital signs;

(2) basic fust aid;

(3) cardio-pulmonary resuscitation;

(4) seizure management;

f 5 ) the I Ieimkch maneuver or other Red
Cross first aid techniques for relieving
airway obstructions;

(6) substance abuse withdrawal symptoms,
including delirium tremens;

(7) medication education and adminis-
tration; and

(8) symptoms of secondary complications
to substance abuse.

(b) Each direct care staff member shall re-
ceive continuing education to include under-
standing of the nature of addiction, the
withdrawal syndrome, group therapy, family
therapy and other treatment methodologies.

Statutory Authority G.S. 122C-26; 143B-147.

.0205 EMERGENCY MEDICAL SERVICES

Each facility shall have and implement writ-
ten procedures for handling medical emergen-
cies. These procedures shall include provision
for the following:

( 1 ) immediate access to a physician:

(2) acute care hospital services; and

(3) assistance from a local ambulance service,
rescue squad or other trained medical
personnel within 20 minutes of the ser-
vice.

Statutory Authority G.S. 122C-26: 143B-147.
.0206 MONITORING OF CLIENTS

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XORTH CAROLISA REGISTER

PROPOSED RULES

Each service shall have a written policy that
requires the following:

(1) procedures for the monitoring of each
client's general condition and vital signs
during at least the first 72 hours of the
detoxification process; and

(2) procedures for monitoring and recording
each client's pulse rate. Mood pressure and
temperature at least every four hours for
the first 24 hours and at least three times
daily thereafter.

Statutory Authority G.S. I22C-26; 143B-I47.

.0207 REFERRAL TO TREATMENT
/REHABILITATION PROGRAM

The service shall refer each client who has
completed detoxification to an outpatient or
residential treatment. rehabilitation program.

Statutory Authority G.S. I22C-26; 143B-147.

SECTION .0300 - SOCIAL SETTING

DETOXIFICATION FOR INDIVIDUALS WHO

ARE ALCOHOLICS

.0301 INTRODUCTION

Social setting detoxification is a residential
service which provides social support and
other non-medical services to individuals who
are experiencing physical withdrawal from al-
cohol. Individuals receiving this service need
a structured residential setting but are not in
need of physician services: however, back-up
physician services are available, if indicated.
The service is designed to assist individuals in
the withdrawal process and to prepare them to
enter a more extensive treatment and rehabili-
tation program.

Statutory Authority G.S. 122C-26; USB- 147.

.0302 HOLRS OF OPERATION

Each service shall operate 24 hours per day,
seven days per week, 12 months per year.

Statutory! Authority G.S. I22C-26; 143B-147.

.0303 STAFF REQUIRED

(a) A minimum of one direct care staff
member shall be on duty at all times for every
nine or fewer clients.

fb) The services of a certified alcoholism
counselor or a certified substance abuse coun-
selor shall be available on an as-needed basis
to each client.

Statutory Authority G.S. 122C-26; 143B-147.

.0304 STAFF TRAINING

(a) Each facility shall have at least one staff
member on duty trained in the following areas:

(1) monitoring of vital signs;

(2) basic first aid;

(3) cardio-pulmonary resuscitation;

(4) seizure management;

(5) the Heimlich maneuver or other Red
Cross first aid techniques for relieving
airway obstructions;

(6) alcohol withdrawal symptoms, including
delirium tremens;

(7) medication education and adminis-
tration; and

(8) symptoms of secondary complications
to alcoholism.

Statutory Authority G.S. 122C-26; 143B-147.

.0305 EMERGENCY MEDICAL SERVICES

Each facility shall have and implement writ-
ten procedures for handling medical emergen-
cies. These procedures shall include provision
for the following:

( 1 ) immediate access to a physician;

(2) acute care hospital services; and

(3) assistance from a local ambulance service,
rescue squad or other trained medical
personnel within 20 minutes of the ser-
vice.

Statutory Authority G.S. 122C-26; 143B-147.

.0306 MONITORING OF CLIENTS

Each service shall have a written policy that
requires the following:

(1) procedures for the monitoring of each
client's general condition and vital signs
during at least the first 72 hours of the
detoxification process; and

(2) procedures for monitoring and recording
each client's pulse rate, blood pressure and
temperature at least three times daily for
the first 72 hours after admission.

Statutory Authority G.S. I22C-26; USB- 147.

.0307 RKFF.RRAI TO TREATMENT
/REHABILITATION PROGRAM

The service shall refer each client who has
completed detoxification to an outpatient or
residential treatment/rehabilitation program.

NORTH CAROLINA REGISTER

1027

PROPOSED RULES

Statutory Authority G.S. I22C-26; I43B-147.

SECTION .0400 - OUTPATIENT

DETOXIFICATION I OR INDIVIDUALS WHO

ARE SUBSTANCE ABUSERS

.0401 INTRODl CTION

(a) Outpatient detoxification is a periodic
service which involves the provision of sup
portive services, particularly active support
systems such as family, Alcoholics Anony-
mous and Narcotics Anonymous, under the
supervision of a physician for clients who are
experiencing physical withdrawal from alcohol
and other drugs.

(b) Outpatient methadone services shall be
exempt from the provisions of this Section but
shall comply with the provisions delineated
under 10 NCAC 14N .0800.

Statutory Authority G.S. 122C-26; I43B-147.

.0402 HOURS OF OPERATION

Each service shall operate at least eight hours
per day, for a minimum of five days per week,
12 months per year.

Statutory Authority G.S. I22C-26: 143B-147.

.0403 STAFF REQUIRED

(a) The treatment of each client shall be un-
der the supervision of a physician.

(b) 1 he services of a certified alcoholism
counselor, a certified drug abuse counselor or
a certified substance abuse counselor shall be
available on an as-needed basis to each client.

Statutory Authority G.S. 122C-26; 143B-147.

.0404 STAFF TRAINING

(a) Fach facility shall have at least one staff
member on duty trained in the following areas:

( 1 ) monitoring of vital signs;
( 2) basic first aid;

(3) cardio-pulmonary resuscitation;

(4) seizure management;

(5) the Heimlich maneuver or other Red
Cross first aid techniques for relieving
airway obstructions;

(6) substance abuse and other drug with-
drawal symptoms, including delirium
tremens;

(7) medication education and adminis-
tration; and

(8) symptoms of secondary complications
to substance abuse or drug addiction.

(b) Each direct care staff member shall re-
ceive continuing education to include under-
standing of the nature of addiction, the

withdrawal syndrome, group therapy, family
therapy and other treatment methodologies.

Statutory Authority G.S. I22C-26; I43B-147.

.040S EMERGENCY MEDICAL SERVICES

Each facility shall have and implement writ-
ten procedures for handling medical emergen-
cies. These procedures shall include provision
for the following:

( 1 1 immediate access to a physician;

(2) acute care hospital services; and

(3) assistance from a local ambulance service,
rescue squad or other trained medical
personnel within 20 minutes of the ser-
vice.

Statutory Authority G.S. I22C-26; 143B-147.

.0406 REFERRAL TO TREATMENT
/REHABILITATION PROGRAM

The service shall refer each client who has
completed detoxification to an outpatient or
residential treatment /rehabilitation program.

Statutory Authority G.S. I22C-26; I43B-147.

SECTION .0500 - RESIDENTIAL

TREATMENT /REHABILITATION FOR

INDIVIDUALS WHO ARE SUBSTANCE

ABUSERS

0501 INTRODUCTION

A residential treatment and/or rehabilitation
program for alcohol or other drug abusers is a
residential service which provides active treat-
ment and a structured living environment for
alcohol or other drug abusers in a group facil-
ity. Individuals must have been detoxified
prior to entering the program. The service is
designed to enable the individual to return to
an independent living situation within a spe-
cific time.

Statutory Authority G.S. 122C-26; I43B-147.

.0502 HOURS OF OPERATION

The program shall provide services 24 hours
per day, seven days per week, 12 months per
year.

Statutory Authority G.S. 122C-26; 143B-147.

.0503 STAFF REQUIRED

As a minimum, the following staffing pattern
shall be required:

(1) At least one certified substance abuse
counselor shall be on staff full-time for
each 15 or fewer beds in a single facility.

1028

NORTH CAROLINA REGISTER

PROPOSED RULES

If the program falls )clo\v this prescribed
ratio and cannot meet the prescribed ratio
by employing a counselor who is certified,
then it may employ an uncertified coun-
selor as long as this individual meets the
certification requirements within a maxi-
mum of 24 months from the date of em-
ployment.
(2) A minimum of one staff member shall
be present in the facility when clients are
present in the program. In programs that
serve minors, a minimum of one staff
member for each five or fewer minor cli-
ents shall be on duty during waking hours
when minor clients are present.

Statutory Authority G.S. I22C-26; I43B-I47.

.0504 STAFF TRAINING

(a) Each staff member shall have a training
plan completed annually and documented
along with documentation of attendance at
training events.

(b) Each facility shall have at least one staff
member on duty trained in the following areas:

(1) cardio-pulmonary resuscitation;

(2) seizure management;

(3) the Heimlich maneuver or other Red
Cross first aid techniques for relieving
airway obstructions;

(4) basic first aid;

(5) alcohol and other drug withdrawal
symptoms;

(6) medication education and adminis-
tration; and

(7) symptoms of secondary complications
to alcoholism and drug addiction.

(c) Each direct care staff member shall re-
ceive continuing education to include under-
standing of the nature of addition, the
withdrawal syndrome, group therapy, family
therapy and other treatment methodologies.

(d) Each direct care staff member in a pro-
gram that serves minors shall receive special-
ized training in youth development and
therapeutic techniques in working with youth.

Statutory Authority G.S. 122C-26; 143 B-/ 47.

.0505 EMERGENCY MEDICAL SERVICES

Each facility shall have and implement writ-
ten procedures for handling medical emergen-
cies. These procedures shall include provision
for the following:

(1) immediate access to a physician;

(2) acute care hospital services; and

(3) assistance from a local ambulance service,
rescue squad or other trained medical

personnel within 20 minutes of the pro-
gram.

Statutory Authority G.S. 122C-26; I43B-147.

.0506 TREATMENT/REHABILITATION
SERVICES

Each facility shall provide or have access to
the following services:

(1) individual, group and or family therapy
for each client;

(2) educational counseling;

(3) vocational counseling;

(4) job development and placement;

(5) money management;

(6) nutrition education; and

(7) referrals to supportive services including
.Alcoholics Anonymous, Narcotics Anon-
ymous, legal counseling, vocational train-
ing and placement.

Statutory Authority G.S. 122C-26; 1 43 B- 147.

.0507 SCHEDULE OF ACTIVITIES

(a) The program shall have a written sched-
ule for daily routine activities.

(b) The program shall establish a schedule
for the provision of treatment and rehabili-
tation services.

Statutory Authority G.S. 122C-26; 143B-147.

SECTION .0600 - HALFWAY HOUSES FOR

INDIVIDUALS WHO ARE SUBSTANCE

ABUSERS

.0601 INTRODUCTION

A halfway house is a residential service which
provides a structured living environment in a
group facility for individuals who are alcohol-
ics or other drug abusers. The service is de-
signed to enhance the client's return to
independent living within a specific time. In-
dividuals must have been detoxified prior to
entering the program. Treatment and rehabil-
itation services are provided outside the facil-
ity. Services provided by the halfway house
are coordinated with the individual's treatment
plan.

Statutory Authority G.S. 122C-26; 143B-147.

.0602 HOURS OF OPERATION

The halfway house shall provide services 24
hours per day, seven days per week, 12 months
per year.

Statutory Authority G.S. I22C-26; 143B-147.

NORTH CAROLINA REGISTER

1029

PROPOSED RULES

.0603 STAFF RF.Ql I RED

(a) .-V minimum of one staff member shall
be present in the facility when clients are pres-
ent in the halfway house.

lb) The seniees of a certified alcoholism
counselor, a certified drug abuse counselor or
a certified substance abuse counselor shall be
available on an as-needed basis to each client.

(ci In programs that serve minors, a mini-
mum of one stall member for each five or
fewer minor clients shall be on duty during
waking hours when minor clients are present.

Statutory Authority G.S. 122C-26; 143B-146.

.0604 STAFF TRAINING

(a) Each facility shall have at least one staff
member on duty trained in the following areas:

1 1 ) cardio-pulmonary resuscitation:

(2) seizure management:

(3) the Heimlich maneuver or other Red
Cross first aid techniques for relieving
airway obstructions:

(4) basic first aid:

(5) alcohol and other drug withdrawal
symptoms:

(6) medication education: and

(7) symptoms of secondary complications
to alcohol and other drug addiction.

(c) Each direct care staff member in a half-
way house that serves minors shall receive
specialized training in youth development and
therapeutic techniques in working with youth.

Statutory Authority G.S. 122C-26; 143B-147.

.0605 EMERGENCY MEDICAL SERVICES

Each halfway house shall have and imple-
ment written procedures for handling medical
emergencies. These procedures shall include
provision for the following:
( 1 ) immediate access to a physician;
(2i acute care hospital services: and
1 3) assistance from a local ambulance service,
rescue squad or other trained medical
personnel within 20 minutes of the half-
way house.

Statutory Authority G.S. J22C-26; I43B-147.

.0606 SCHEDULE OF ACTIVITIES

(a) The halfway house shall have a written
schedule for daily routine activities.

(b) The halfway house shall maintain a
written schedule of support activities provided
for clients.

Statutory Authority G.S. 122C-26; 143B-147.

.0607 POSTING OF HOUSE RILES

Rules of the halfway house shall be conspic-
uously posted in the facility.

Statutory Authority G.S. 122C-26; 143B-147.

SECTION .0700 - OUTPATIENT SERVICES

FOR INDIVIDUALS WHO ARE SUBSTANCE

ABUSERS

.0701 INTRODUCTION

(a) An outpatient service is a periodic service
designed to meet the diagnostic therapeutic
needs of individuals of all disability groups
while allowing them to remain in the commu-
nity. Services are provided to individuals, fa-
milies or groups in a nonhospital setting
through short visit(s) to the facility for the
purpose of treatment, habilitation or rehabili-
tation. Individual, group and family coun-
seling: educational counseling: vocational
counseling: psychotherapy; and extended
testing evaluation are provided as needed.

lb) An outpatient service for individuals who
are alcohol or other drug abusers is a periodic
service, which encompasses the activities de-
lineated in (a) of this Rule, with the exceptions
of psychotherapy and extended testing. In
addition, outpatient services for substance
abusers may be provided in a hospital setting
if such hospital provides outpatient services.
All substance abuse clients shall be detoxified
prior to admission to this service.

(c) Frequently, individuals are in need of
more intensive treatment for substance abuse
other than that usually provided in traditional
outpatient services, but these individuals are
not in need of treatment provided in residential
facilities. They may need intensive outpatient
services which are periodic services consisting
of structured programs provided for each indi-
vidual for a minimum of 5 hours or more per
week. Intensive outpatient services may in-
clude individual counseling, group counseling,
family counseling, peer groups, recreational
therapy, substance abuse and life skills educa-
tional programs.

Statutory Authority G.S. I22C-26; I43B-147.

.0702 HOI RS OF OPERATION FOR

INTENSIVE OUTPATIENT SERVICE

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\ORTH C A ROUS A REGISTER

PROPOSED RULES

Each intensive outpatient service shall operate
at least three days per week, but not fewer than
12 hours per week, twelve months per year.

Statutory Authority G.S. 122C-26; 143B-147.

.0703 STAFF REQUIRED

(a) The services of a certified alcoholism
counselor, a certified drug abuse counselor or
a certified substance abuse counselor shall be
available on an as-needed basis to each client.

(b) The staff of an intensive outpatient ser-
vice shall include a minimum of one full-time
or equivalent certified alcoholism, drug abuse
or substance abuse counselor for every 16 or
fewer clients.

(c) If the service falls below the prescribed
ratio in (b) of this Rule, and cannot meet the
prescribed ratio by employing a counselor who
is certified, then it may employ an uncertified
counselor as long as this individual meets the
certification requirements wilhin a maximum
of 24 months from the date of employment.

Statutory Authority G.S. I22C-26; 143B-147.

.0704 STAFF TRAINING

(a) Each facility shall have a training plan
completed annually and documented along
with documentation of attendance at training
events.

(b) Each facility shall have at least one staff
member on duty trained in the following areas:

(1) cardio-pulmonary resuscitation;

(2) seizure management;

(3) the Heimlich maneuver or other Red
Cross first aid techniques for relieving
airway obstructions;

(4) basic first aid;

(5) alcohol and other drug withdrawal
symptoms;

(6) medication education and adminis-
tration; and

(7) symptoms of secondary complications
to alcoholism and drug addiction.

(d) Each direct care staff member in an out-
patient service that serves minors shall receive
specialized training in youth development and
therapeutic techniques in working with youth.

Statutory Authority G.S. 122C-26; 143B-147.

.0705 EMERGENCY MEDICAL SERVICES

Each facility shall have and implement writ-
ten procedures for handling medical emergen-
cies. These procedures shall include provisions
for the following:

(1) immediate access to a physician;

(2) acute care hospital services; and

(3) assistance from a local ambulance service,
rescue squad or other trained medical
personnel within 20 minutes of the ser-
vice.

Statutory Authority G.S. I22C-26; 143B-147.

SECTION .0800 - OUTPATIENT

METHADONE SERVICES FOR INDIVIDUALS

WHO ARE NARCOTIC ABUSERS

.0801 INTRODUCTION

(a) Outpatient methadone services is a peri-
odic service designed to offer the individual an
opportunity to effect constructive changes in
his lifestyle by using methadone in conjunction
with the provision of rehabilitation and med-
ical services.

(b) Methadone is also a tool in the detoxifi-
cation and rehabilitation process of a narcotic
dependent individual. For the purpose of de-
toxification, methadone is used as a substitute
narcotic drug; it is administered in decreasing
doses for a period not to exceed 180 days. For
individuals with a history of being physiologi-
cally addicted to a narcotic for at least one year
before admission to the service, methadone
may also be used in maintenance treatment.
In these cases, it may be administered or dis-
pensed in excess of 1 80 days at relatively stable
dosage levels with the treatment goal of an
eventual drug- free state.

Statutory Authority G.S. 122C-26; 143B-147;
21 CFR Part 2 § 291.505; 21 CFR Part 1300.

.0802 HOURS OF OPERATION

Each service shall operate seven days per
week, 12 months per year. Daily, weekend
and holiday medication dispensing hours shall
be scheduled to meet the needs of the client.

Statutory Authority G.S. 122C-26; 143B-I47;
21 CFR Part 2 § 291.505.

.0803 COMPLIANCE WITH FDA/NIDA
REGULATIONS

Each service shall be approved by the Food
and Drug Administration of the United State
Department of Health and Human Services
and shall be in compliance with all Food and
Drug Administration National Institute on
Drug Abuse methadone regulations in 21 CFR

NORTH CAROLINA REGISTER

1031

PROPOSED RULES

Part 2 § 291.505. These regulations are avail-
able from the Food and Drug Administration,
Division of Methadone Monitoring (HFN-
340), 5600 Fishers lane, RockviUe, Maryland
20857 at no cost.

Statutory Authority G.S. 122C-26; MSB- 147;
21 CFRParl 2 § 291.505.

.0804 COMPLIANCE WITH DEA
REGULATIONS

Fach service shall be currently registered with
the Federal Drug Enforcement Administration
and shall be in compliance with all Drug En-
forcement Administration regulations pertain-
ing to narcotic treatment programs codified in
21 CFR, Food and Drugs, Part 1300 to end.
These regulations are available from the
I'nited States Government Printing Office,
Washington, D.C. 20402 at a cost of four dol-
lars and fifty cents ($4.50) per copy.

Statutory Authority
21 CFR Part 1300.

G.S. I22C-26; I43B-I47;

.0805 STAFF REQl I RED

A minimum of one certified drug abuse
counselor or certified substance abuse counse-
lor to each 50 clients shall be on the staff of the
service. If the service falls below this pre-
scribed ratio, and cannot meet the prescribed
ratio by employing a counselor who is certi-
fied, then it may employ an uncertified coun-
selor as long as this individual meets the
certification requirements within a maximum
of 24 months from the date of employment.

Statutory Authority G.S. 122C-26; MSB- 147.

.0806 STAFF TRAINING

(a) Each facility shall have at least one staff
member on duty trained in the following areas:

( 1 ) basic fust aid;

cardio -pulmonary resuscitation;
seizure management:

the Heimlich maneuver or other Red
Cross first aid techniques for relieving
airway obstructions;
drug abuse withdrawal symptoms;
medication education; and

symptoms of secondary complications
to drug addiction.

(b) Fach direct care staff member shall re-
ceive continuing education to include under-
standing of the nature of addition, the
withdrawal syndrome, group therapy, family
therapy and other treatment methodologies.

(2)
(3)

(4)

(5)
(6)

(7)

Statutory Authority G.S. 122C-26; MSB- 147.

.0807 EMERGENCY MEDICAL SERVICES

Each service shall have and implement writ-
ten procedures for handling medical emergen-
cies. These procedures shall include provisions
for the following:

(1)
(2)
(3)

immediate access to a physician;
acute care hospital services; and
assistance from a local ambulance service,
rescue squad, or other trained medical
personnel \\ithin 20 minutes of the ser-
vice.

Statutory Authority G.S. 122C-26; MSB- 147.

.0808 TAKE-HOME SLPF'LIES FOR
HOLIDAYS

Take-home dosages of methadone for holi-
days shall be authorized by the program phy-
sician on a case-by-case basis according to the
following:

( 1 ) An additional one-day supply of metha-
done may be dispensed to all eligible cli-
ents (regardless of time in treatment) for
Independence Day, Thanksgiving, Christ-
mas, New Year's and other official state
holidays.

(2) No more than a three-day supply of me-
thadone may be dispensed to any eligible
client because of holidays. This re-
striction shall not apply to clients who are
receiving a six-day take-home supply of
methadone.

Statutory! Authority G.S. 122C-26;
21 CFR § 291.505.

MSB- 147;

.0809 TREATMENT/REHABILITATION
SERVICES

Each service shall have staff to provide or se-
cure the following services:

(1) individual, group and 'or family therapy
for each client;

(2) educational counseling;

(3) vocational counseling;

(4) job development and placement;

(5) money management;

(6) nutrition education; and

(7) referrals to supportive services including
Alcoholics Anonymous, Narcotics Anon-
ymous, legal counseling, vocational train-
ing and placement.

Statutory Authority G.S. 122C-26; MSB- 147.

.0810 WITHDRAWAL FROM METHADONE

(a) The withdrawal from methadone shall
be discussed with each client at the initiation

1032

NORTH CAROLINA REGISTER

PROPOSED RULES

of treatment and at three month intervals
thereafter.

(b) Documentation of the discussion re-
quired in (a) of this Rule and the client's re-
action to the discussion shall be recorded in the
client's record.

Statutory Authority (7.5. 122C-26; I43B-147.

.081 I CLIENT DISCHARGE RESTRICTIONS

No client shall be discharged from the service
while physically dependent upon methadone
unless the client is provided the opportunity to
detoxify from the drug.

Statutory Authority G.S. I22C-26; MSB- 147.

SUBCHAPTER MO - LICENSURE RULES FOR

FACILITIES SERVING MORE THAN ONE

DISABILITY

SECTION .0100 - ALTERNATIVE FAMILY
LIVING

.0101 INTRODUCTION

(a) Alternative family living is a residential
service which provides room and board and
"family style" supervision and monitoring of
the client's daily activities. Individuals live
with a family who act as providers of
supportive services. The service providers are
supported by professional staff with ongoing
consultation and education to the service
providers in their own homes.

(b) Alternative family living may include the
host home model which is a residential service
that provides for placement of an individual in
a private home on a contracted short-term
basis with continuous supervision
supplemented by treatment provided by
professional staff.

(c) Each facility shall be designed primarily
to serve persons with mental illness, mental
retardation or other developmental disability,
or substance abuse in need of a supervised
living environment within a community
setting.

Statutory Authority G.S. I22C-26; MSB- 147.

.0102 CAPACITY

Each alternative family living facility shall
serve a maximum of two clients at the same
time.

Statutory Authority G.S. 122C-26; MSB-147.

OHO PHYSICAL PLAN! REQUIREMENTS

(a) A minimum of one ionized smoke
detector wired into the house current shall be
installed and centrally located. Additional
smoke detectors that are not wired into the
house current shall be checked at least monthly
b\ the provider.

(b) A dry powder of CO(2) type fire
extinguisher shall be located in the kitchen and
shall be checked at least annually by the local
fire department. Each client and provider shall
receive instruction in its use on his/her first day
of residence.

Statutory Authority G.S. I22C-26; 14SB-M7.

(1104 DESIGNATED QUALIFIED
PROFESSIONAL

Each client admitted to a facility shall be
receiving services from a qualified mental
health professional, qualified developmental
disabilities professional, or qualified substance
abuse professional, as appropriate, who has
responsibility for the client's

treatment/program or case management plan.

Statutory Authority G.S. I22C-26; MSB-147.

.0105 CLIENT SUPERVISION

Al least one facility staff member shall be
present in the facility during hours in which a
client is in the facility unless the qualified
professional who has designated responsibility
for the client's treatment program or case
management plan has documented in the
individual client plan that the client may
remain in the facility without supervision in
certain clearly delineated instances.

Statutory Authority G.S. 122C-26; MSB-147.

.0106 SERVICE RESPONSIBILITIES

(a) When the governing body is not the
provider of services, it shall attempt to match
the client's needs with the provider.

(b) Each governing body shall maintain an
application on each provider which includes
the following:

(1) full name of each person living in the
home;

(2) place, telephone number and hours of
employment for those family members
who will be providing alternative family
living services;

(3) address, directions to and telephone
number of residence; and

(4) descriptions of sleeping arrangements
for the client.

NORTH CAROLINA REGISTER

1033

PROPOSED RULES

(c) Each governing body shall have a written
agreement with each provider which includes
but is not limited to the following:

( 1 ) description of the client's behavior;

(2) the responsibilities of the provider;

(3) confidentiality requirements;

(4) responsibility and procedures for
securing emergency services;

(5) responsibilities for supervising the
client;

(6) special dietary considerations;

(7) participation in appropriate training
programs;

(8) responsibilities of both parties as to
provision of client medical, dental, and
developmental treatment services as
deemed necessary;

(9) responsibilities for insuring that the
client participates in appropriate
treatment habilitation services;

(10) responsibilities for client
transportation;

(11) termination clause; and

(12) terms of compensation.

(d) The governing body shall maintain a
signed copy of the agreement in the files, and
a signed copy shall be given to the provider.

(e) Each governing body shall furnish each
provider with a form for recording illness,
accident or medical concerns, including
administration of medication. This form shall
be maintained by the governing body in the
client's record.

Statutory Authority G.S. 122C-26; 143B-147.

.0107 PROVIDER TRAINING

(a) Each provider shall participate in a
training program prior to the placement of a
client in his her home.

(b) The content of the training program shall
include but not be limited to the following:

(1) general overview of mental illness,
mental retardation or other
developmental disability, and or
substance abuse, as appropriate;

(2) administration of medication:

(3) development of the individual treat-
ment habilitation plan;

(4) confidentiality:

( 5 ) client rights: and

(6) principles of behavior management, it
appropriate.

Statutory Authority G.S. 122C-26; 143B-147.

.0108 HOUSEKEEPING ACTIVITIES

Each facility may assign clients to routine
housekeeping activities normative for his, her
age and development or psychiatric status as
specified in the individual client plan for
services in the facility.

Statutory Authority G.S. 122C-26; 143B-14' 7 .

.0109 TRANSPORTATION

Each facility shall arrange or provide
transportation for the client as specified in the
individual client plan and in emergency
situations.

Statutory Authority G.S. I22C-26; I43B-J4~.

SECTION .0200 - SUPERVISED
INDEPENDENT LIVING

.0201 INTRODUCTION

Supervised independent living is a residential

service which may provide room, board, and

care to one or more individuals who do not

need 24-hour supervision. Training.

counseling, and various levels of supervision

are provided as needed. Supervised

independent living includes apartment living

and boarding homes and shall be designed

primarily to serve persons IS years of age or

older with mental illness, mental retardation

or other developmental disability, or for

substance abusers between 16 and 21 years of

age. Supervised independent living includes

apartment living and boarding homes as

follows:

( 1 ) Apartment living is a residential service

providing a supervised living environment

for individuals who are preparing for

independent living. Counseling and

technical assistance are provided as

needed. Service models may include

co-resident apartments, apartment clusters

and single resident apartments.

(a) Co-resident apartment is a residential
service that features one staff person,
commonly called a counselor, living
with one or two adults in a single
apartment.

(b ) Apartment cluster is a residential service
that involves residents living in several
apartments in the same building or
scattered sites within an apartment
complex and is commonly staffed with
a counselor or manager who resides
within the same apartment complex.

1034

SORTH CAROLIXA REGISTER

PROPOSED RULES

reside in a variety of settings dispersed

throughout the community.
(2) Boarding home is a residential service
provided for individuals with mental
illness, mental retardation or other
developmental disability, or for substance
abusers which provides an alternative
living environment for those individuals
not yet ready for successful independent
living. Training may be provided in the
areas of health and safety, medication
administration, use of community
services, management of personal funds,
acquisition and refinement of self-help
skills, acquisition and refinement of
individualized leisure activities, and
personalized counseling services. This
service is generally less restrictive than
group homes but more restrictive than
apartment living.

Statutory Authority G.S. 122C-26; 143B-147.

.0202 CAPACITY OF BOARDING HOME

Each boarding home shall have a capacity of
nine or fewer clients.

Statutory Authority G.S. 122C-26; I43B-147.

.0203 PHYSICAL PLANT REQUIREMENTS

(b) A dry powder or CO(2) type fire
extinguisher shall be located in the kitchen and
shall be checked at least annually by the local
fire department. Each client and provider shall
receive instruction in its use on his/her first day
of residence.

Statutory Authority G.S. 122C-26; 143B-147.

.0204 PROGRAM DIRECTOR
/COORDINATOR

Each program shall have a designated
program director/coordinator.

Statutory Authority G.S. 122C-26; I43B-147.

.0205 DESIGNATED QUALIFIED
PROFESSIONAL

Each client admitted to a facility shall be
receiving services from a qualified mental
health professional, qualified developmental

disabilities professional, or qualified substance
abuse professional, as appropriate, who has
responsibility for the client treatment/program
or case management plan.

Statutory Authority G.S. 122C-26; 143B-147.

.0206 SUPPORT SERVICES

Support services shall be made available to
all clients to assist in meeting individual
medical, habilitation, treatment, vocational,
social and other needs.

Statutory Authority G.S. 122C-26; 143B-147.

.0207 TREATMENT/HABILITATION PLAN

With the exception of the co-resident
apartment, each individual client plan shall
contain documentation that the individual
needs a residential service with fewer than 24
hour per day supervision, and that the intensity
of supervision provided by the program is
consistent with needs identified in the
individual's treatment/habilitation plan.

Statutory Authority G.S. 122C-26; 143B-147.

.0208 AGREEMENT: CLIENT/SUPERVISED
INDEPENDENT LIVING PROGRAM

(a) A written agreement shall be negotiated
between each client and the service provider
which specifies the responsibilities of the client
and the provider.

(b) One copy of the agreement shall be given
to the client and one copy included in the
client's record.

Statutory Authority G.S. 122C-26; 143B-147.

.0209 CLIENT TRAINING IN HEALTH AND
SAFETY

(a) Each client shall receive training
concerning safe and proper methods of using
kitchen and housekeeping equipment such as
knives, range, exhaust fans, and other electrical
appliances.

(b) Each client shall have access to first aid
supplies and shall receive training in the use
of these supplies.

(d) Information on obtaining emergency
services, including access to available
telephones, shall be posted.

(e) Each client who cannot self-medicate
shall be provided a training program to assist
him/her to be less reliant on drug
administration by staff and more self-reliant
regarding drug administration.

NORTH CAROLINA REGISTER

1035

PROPOSED RULES

Statutory Authority G.S. 122C-26; 143B-147.

.0210 STAFF REQUIRED: APARTMENT
LIVING FOR MR/DO CLIENTS

(a) The program director coordinator tor
apartment living programs serving mentally
retarded or otherwise developmentally disabled
clients shall be at least a high school graduate
or equivalent with three years of experience in
mental retardation programming but
preferably a college graduate with one year of
experience in mental
retardation developmental disability
programming.

(b) The staffing patterns of the apartment
living program, including the staff client ratio
and the use of volunteers, advocates and other
support individuals, shall be developed in
response to the degree of independence of
residents and the geographical dispersal of
apartment living units.

( 1 ) co-resident apartment - at least one staff
member to each two clients;

(2) apartment cluster - at least one staff
member to each 12 or fewer clients: and

(3) independent living - at least one staff
member to each 15 or fewer clients.

(d) When the program director coordinator
is not available, another person shall be
designated to serve in that capacity.

Statutory Authority G.S. I22C-26; 143B-147.

.0211 STAFF RFQLIRKD: APARTMENT
LINING PROGRAMS FOR MI/SA

(a) Sufficient staff members shall be available
to the apartment living programs serving
mentally ill and substance abuse clients to
assist clients in the development of necessary
skills.

(bj Live-in staff shall not be required except
in co-resident apartments.

Statutory Authority G.S. J22C-26; 143B-14 1 .

.0212 STAFF REQUIRED: BOARDING
HOMES

(a) Sufficient staff members shall be available
to the boarding home to assist clients in the
development of necessary skills.

(b) Live-in staff shall not be required.

Statutory Authority G.S. 122C-26; I43B-I47.

SECTION .0300 - RESIDENTIAL

THERAPKl IK (HABILITATIVE) (AMPS

LOR CHILDREN AND ADOLESCENTS

.0301 INTRODUCTION

(a) A residential therapeutic (habilitative)
camp is a residential treatment service provided
in a camping environment which is designed
to help individuals develop behavior control,
coping skills, self-esteem and interpersonal
skills. Services may include supervised peer
interaction, provision of healthy adult role
models, and supervised recreational, educa-
tional and therapeutic experiences.

(b) bach residential therapeutic (habilitative)
camp shall be designed to serve children and
adolescents six through 17 years of age who are
emotionally disturbed or who have mental re-
tardation or other developmental disabilities.

(c) These Rules arc not applicable to facili-
ties designed primarily for recreational pur-
poses or those subject to regulation by the
N.C. Division of Youth Services.

Statutory Authority G.S. 122C-26; 143B-147.

.0302 BEDROOM/BATH FACILITIES

(a) All sleeping units shall provide at least
the following space:

( 1 ) 30 square feet per person;

(2) six feet between heads of sleepers; and

(3) 3D inches between sides of beds.

(b) A minimum of the following shall be
provided:

( 1 ) one shower head for each ten individ-
uals;

(2) one flush toilet for each ten individuals;
and

(3; one handwashing facility, adjacent to
toilet facilities, for each 20 individuals.

Statutory? Authority G.S. 122C-26; 143B-147.

.0303 EQUIPMENT AND SLPPLIES

(a) Gasoline, kerosene and other flammable
materials shall be stored in covered safe con-
tainers plainly labeled as to content. Storage
shall be in a well-ventilated, secure location.

(b) All power tools, including mowers and
trimmers, shall have the necessary safety de-
vices and shall be used according to manufac-
turer's instruction, maintained in good repair,
and used only by those persons trained and
experienced in their safety. When campers are
using such equipment, a trained and responsi-
ble adult shall be present. All power tools
shall be stored in a locked place not occupied
by individuals when the tools are not in use.

1036

NORTH CAROLINA REGISTER

PROPOSED RULES

be properly charged and have a current in-
spection label.

Statutory Authority G.S. 122C-26; 1 43 B- 147.

.0304 STAFF REQUIRED

(a) Each camp designed primarily to serve
campers who are emotionally disturbed shall
have a program director who has a minimum
of two years' experience in child/adolescent
mental health services, who has camping ex-
perience, and who has educational preparation
in administrative, education, social work,
nursing, psychology or a related field.

(b) bach camp designed primarily to serve
campers who are mentally retarded or other-
wi.se developmental^ disabled shall have a
program director who has a minimum of two
years' experience in mental retardation or other
developmental disability services, who has
camping experience, and who has educational
preparation in administration, education, so-
cial work, nursing, psychologv or a related
field.

(b) Each facility shall have at least one staff
member trained in basic first aid, cardio-pul-
monary resuscitation, seizure management and
the Heimlich maneuver or other Red Cross
first aid techniques for relieving airway ob-
structions.

Statutory Authority G.S. I22C-26; 143B-147.

.0309 MEDICAL STATEMENT

(a) bach staff member who works directly
and on a regularly scheduled basis with clients
shall submit a medical statement from a li-
censed physician or an authorized health pro-
fessional under his/her supervision to the
program at the time of initial employment and
annually thereafter.

Statutory Authority G.S. 122C-26; MSB- 147.

.0305 DESIGNATED QUALIFIED
PROFESSIONAL

Each client admitted to a facility shall be re-
ceiving services from a qualified mental health
professional or qualified developmental disa-
bilities professional, as appropriate, who has
responsibility for the client's

treatment, program or case management plan.

Statutory Authority G.S. 122C-26; 143B-147.

.0306 STAFF/CAMPER RATIO

(a) A minimum of two staff members shall
be on duty for every eight or fewer campers.

(b) The emergency on-call staff shall be
readily available by page and able to reach
campers within one hour.

Statutory Authority G.S. 122C-26; I43B-I47.

.0307 STAFF AVAILABILITY

(a) During waking hours, staff shall be within
sight or voice range of the campers.

(b) During sleeping hours, staff shall be lo-
cated within voice range of the campers.

Statutory Authority G.S. 122C-26; I43B-147.

.0308 TRAINING OF STAFF

(a) Staff assigned to the program shall be
trained to manage the children/adolescents in-
dividually and as a group.

Statutory Authority G.S. 122C-26; I43B-147.

.0310 PRO VISION OF APPROPRIATE
ACTIVITIES

Each camp shall provide activities appropri-
ate to the functioning level of the
child/adolescent. Training in

language/communication skills, fine and gross
motor skills, cognitive skills, social relationship
skills and recreation skills shall be provided as
specified in the individual client plan.

Statutory Authority G.S. J22C-26; 143B-147.

.031 1 EMERGENCY MEDICAL TREATMENT

Emergency medical treatment shall be avail-
able within one hour of the camp.

Statutory Authority G.S. 122C-26; 143B-147.

.0312 PSYCHIATRIC CONSULTATION

Psychiatric consultation shall be available on
an as-needed basis to the camp.

Statutory Authority G.S. 122C-26; 143B-147.

.0313 SCHEDULE OF DAILY ACTIVITIES

Each camp shall have a written schedule of
daily activities which shall be posted in a place
accessible to children/adolescents and staff.

Statutory Authority G.S. 122C-26; I43B-147.

.0314 BASIC SAFETY

NORTH CAROLINA REGISTER

1037

PROPOSED RULES

(a) Each camp shall develop and implement
written policies and procedures on basic care
and safety.

(b) The policies and procedures shall address
at least the following:

( 1 ) clothing suitable for existing weather
conditions;

(2) cross ventilation in all sleeping units;

(3) bathing facilities with warm water:

(4) storage of flammable materials;

(5) use of tools and sharp instruments;

(6) use of cooking facilities and equipment;
and

(7) beds or lockers no closer than five feet
to anv heating unit.

.0403 HOURS OF OPERATION

Services shall be available for 24 hours per
day during times when a client is in residence.

Statutory Authority G.S. 122C-26; 143B-I47.

.0404 DESIGNATED QUALIFIED
PROFESSIONAL

Each client admitted to a facility shall be re-
ceiving services from a qualified mental health
professional or qualified substance abuse pro-
fessional, as appropriate, who has responsibil-
ity for the client's treatment /program or case
management plan.

Statutory Authority G.S. 122C-26: I43B-I4'

Statutory Authority G.S. 122C-26; MSB- 14'/

SECTION .0400 - THERAPEUTIC HOMES
FOR CHILDREN AND ADOLESCENTS

.0401 INTRODUCTION

(a) A therapeutic home is a residential pro-
gram primarily located in a private residence
which provides professionally trained parent-
substitu es who work intensively with individ-
uals in providing for their living, socialization,
therapeutic and sldJl-learning needs. The par-
ent-substitutes have skills and training above
those of alternative family living service pro-
viders and receive close supervision and sup-
port from program staff. The program m,i\
utilize services from a facility providing treat-
ment services such as outpatient or day treat-
ment.

(b) Services in the therapeutic home are de-
signed to provide a healthy adult role model
for both emotionally disturbed children and for
those children who have substance abuse-re-
lated problems. These services are provided in
a home environment and utilize other treat-
ment facilities.

(c) Each therapeutic home shall be designed
primarily to serve either emotionally disturbed
children and adolescents, those children and
adolescents with substance abuse-related
problems, or both, under IS years of age who
need a therapeutic residential setting providing
training and support toward the development
of independent living skills.

Statutory Authority G.S. I22C-26; M3B-M7.

.0402 CAPACITY

Each therapeutic home shall serve no more
than two individuals.

Statutory Authority G.S. J22C-26: 143B-147.

.0405 STAFF/CLIENT RATIO

A minimum of one therapeutic home parent
shall be present with clients at all times unless
the designated qualified professional has docu-
mented in the individual client plan that the
client may be without supervision in certain
clearly delineated instances.

Statutory Authority G.S. 122C-26; 143B-147.

.0406 ADMISSION CRITERIA

(a) Admission to the facility shall be a joint
decision of the designated qualified profes-
sional, the provider and the client or the legally
responsible person.

(b) The client shall have the opportunity for
at least one pre-admission visit to the home
except for an emergency admission.

Statutory Authority G.S. 122C-26; 143B-147.

.0407 TRAINING OF THERAPEUTIC HOME
PARENTS

The mdividual(s) identified as the therapeutic
home parent(s) shall receive pre-service train-
ing in treatment services for the client for
whom they are providing care. This training
shall be documented in the program's person-
nel files. Training shall include, but not be
limited to, the following:

(1) child/adolescent development;

(2) dynamics of emotionally disturbed /sub-
stance abusing youth and families;

(3) symptoms of substance abuse;

(4) needs of emotionally disturbed sub-
stance abusing youth in residential set-
tings;

(5) administration of medication;

(6) confidentiality;

(7) client rights; and

1038

NORTH CAROLINA REGLSTER

PROPOSED RILES

(8) development of the individual treatment
plan.

Statutory Authority G.S. J22C-26; I43B-147.

.0408 AGREEMENT WITH THERAPEUTIC
HOME PARENTS

(a) When the governing body is not the
provider of services, the governing bod\ and
the involved providers shall have a written
agreement with the therapeutic home
parent(s), which includes, but is not limited to,
the following:

( 1 ) responsibility of the governing body and
the therapeutic home parents;
confidentiality requirements;
responsibility and procedures for secur-
ing emergency services;
terms of compensation; and

availability of the therapeutic home
parents, including provision of vacation
timc(s) and periods of respite relief for
the therapeutic home parents.
A signed copy of the agreement shall be
maintained in the program files and a copy
given to the therapeutic home parents.

(2)

(3)

(4)
(5)

(b)

Statutory Authority G.S. I22C-26; 143B-147.

.0409 COORDINATION OF TREATMENT
AND EDUCATION

(a) The program staff and therapeutic home
parents shall coordinate the client's individual
plan with his/her educational program.

(b) The program staff and therapeutic home
parents shall have conferences, at least quar-
terly, with teachers or principals regarding the
client, as well as with juvenile court personnel
and other relevant caretakers. The client's
parents or legally responsible person shall be
included as indicated by statute and program
staff.

Statutory Authority G.S. 122C-26; 143B-147.

.0410 ROLE OF PARENT(S) OR THE

LEGALLY RESPONSIBLE PERSON

(a) The client's parent(s) or the legally re-
sponsible person shall have the opportunity to
participate in the development and implemen-
tation of the client's individual treatment plan.

(b) A report to the parent(s) or the legally
responsible person shall be submitted when
feasible at least every three months. Reports
may be in writing or take the form of a con-
ference and shall focus on the client's progress.

Statutory Authority G.S. I22C-26; 143B-147.

.0411 APPLICATION FOR THERAPEUTIC
HOME PARENTS

Each program which provides services
through contracts with the therapeutic home
parents to serve clients in their home shall
maintain an application tile which includes:

(1) full name(s) of each person living in the
home;

(2) names of family members responsible for
client supervision and their supervision
schedules; and

(3) address, directions to and telephone
number of the home.

Statutory Authority G.S. I22C-26; 1 43 B- 147.

.0412 CLINICAL CONSULTATION

(a) Clinical consultation to each home shall
be provided by a qualified mental health pro-
fessional based on client needs if a mental
health client resides in the home.

(b) Clinical consultation shall be provided to
each home by a qualified alcoholism, drug
abuse or substance abuse professional at least
once a week if a substance abuser resides in the
home.

Statutory Authority G.S. 122C-26; I43B-147.

.0413 DAILY ACTIVITIES

Daily activities shall be as consistent as pos-
sible with the basic routines of the family, in-
cluding individual and organization
recreational activities, field trips and experi-
ences within the community.

Statutory Authority G.S. 122C-26; 143B-147.

.0414 DAY PROGRAM

I*ach client shall participate in a day program
designed to meet his/her educational, voca-
tional and employment needs.

Statutory Authority G.S. 122C-26; 143B-I47.

.0415 HOUSEKEEPING ACTIVITIES

Fach client may be assigned to participate in
routine housekeeping activities consistent with
his/her age and clinical status.

Statutory Authority G.S. I22C-26; 143B-I47.

.0416 PERSONAL HYGIENE

Each client shall be provided instruction in
good health practices pertaining to personal
hygiene and grooming.

Statutory Authority G.s. 122C-26; I43B-147.

NORTH CAROLINA REGISTER

1039

PROPOSED RULES

SKCTION .0500 - DAY ACTIVITY

.0501 INTRODUCTION

Day activity is a day night service which pro-
vides supervision and an organized program
during a substantial part of the day in a group
setting to adults and elderly individuals who
are mentally ill or substance abusers. Partic-
ipation ma\ be on a scheduled or drop-in ba-
sis. The service is designed to support the
individual's personal independence and pro-
mote social, physical and emotional well-being
through activities such as social skills develop-
ment, leisure activities, training in daily living
skills, improvement of health status, and utili-
zation of community resources.

Statutory Authority G.S. 122C-26: 143B-147.

.0502 HOURS OF OPERATION

Each day activity program shall be available
three or more hours a day on a regularly sche-
duled basis at least once a week.

Statutory Authority G.S. 122C-26; 143B-147.

.050.1 STAFF REQUIRED

Each program shall have at least one staff
member on site at all times that clients are
present in the facility.

Statutory Authority G.S. 122C-26; 143B-147.

.0504 DESIGNATED QUALIFIED
PROFESSIONAL

Statutory Authority G.S. 122C-26; 143B-147.

(b) The planned program activities shall be
designed to enhance the client's social, physical
and emotional well-being.

Statutory Authority G.S. 122C-26; 143B-147.
SECTION .0600 - SHELTERED WORKSHOPS

.0601 INTRODUCTION

(a) A sheltered workshop is a day/night ser-
vice which provides work-oncnted services in-
cluding various combinations of evaluation,
developmental skills training, vocational ad-
justment, job placement, and sheltered em-
ployment to individuals of all disability groups
16 years of age or over who have potential for
gainful employment. This service is designed
for individuals who have demonstrated that
they do not require the intensive training and
structure found in programs such as Adult
Developmental Activity Programs (ADAP)
but have not yet acquired the skills necessary
for competitive employment. It provides the
individual opportunity to acquire and maintain
life skills including appropriate work habits,
specific job skills, self-help skills, socialization
skills, and communication skills. This service
focuses on vocational productive work activ-
ities for individuals who have potential for
gainful employment as determined by Voca-
tional Rehabilitation Services or the ability to
participate in a sheltered employment pro-
gram. Sheltered workshops are subject to
Department of Labor Federal Wage and Hour
Guidelines for the Handicapped.

(b) The Rules in this Section specify licen-
sure requirements applicable to sheltered
workshops which serve individuals v ho are
primarily mentally retarded or otherwise de-
velopmentally disabled; however, individuals
with mental illness, substance abuse and se-
verely physically disabled individuals may also
be served within a sheltered workshop.

.0505 PLAN FOR PROGRAM ACTIVITIES

(a) Each day activity program shall have
planned activities which shall include one or
more of the following:

( 1 ) development of interpersonal skills;

(2) development of daily living skills such
as meal preparation, money manage-
ment, use ot transportation, or leisure
time;

(3) development of personal care skills such
as grooming, health care or nutrition;
and

(4) assistance with obtaining other needed
services.

Statutory Authority G.S. I22C-26; 143B-147.

.0602 COMPLIANCE WITH OTHER RULES

Sheltered workshops which are subject to
rules and regulations of the North Carolina
Division of Vocational Rehabilitation Services
shall not be subject to licensure under the
provisions of G.S. 122C, .Article 2.

Statutory Authority G.S. 122C-26; 143B-147.

.0603 HOURS OF OPERATION

Sheltered workshop services shall be available
for client attendance at least six hours per day

1040

NORTH CAROLINA REGISTER

PROPOSED RULES

(exclusive of transportation time), five days per
week, 12 months per year.

Statutory Authority G.S. I22C-26; 143B-147.

.0604 PHYSICAL PLANT REQUIREMENTS

(a) Each facility shall be inspected annually
by an outside safety consultant with written
documentation and follow-up on recommen-
dations.

(b) F.ach facility shall be designed and
equipped to promote the training and adult
status of clients.

(c) Each facility shall eliminate architectural
barriers which prohibit access to the building
and use of equipment and facilities.

(d) Each facility shall provide adequate toilet
facilities and drinking fountains for clients.

Statutory Authority G.S. I22C-26; 143B-147.

.0605 PROVISION FOR CLASSROOM
SPACE

Each facility shall ha\e designated space for
classroom activities.

Statutory Authority G.S. 122C-26; I43B-147.

.0606 PROGRAM DIRECTOR

(a) Each sheltered workshop shall have a
designated full-time program director.

(b) The program director shall be at least a
high school graduate or equivalent with three
years of experience in mental
retardation, 'developmental disability program-
ming, but preferably a college degree with one
year of experience in mental retardation or
other developmental disability rehabilitation
programming.

Statutory Authority G.S. 122C-26; 1 43 B- 1 47.

.0607 DIRECTOR/COORDINATOR

(a) Each sheltered workshop shall have a
designated full-time director/coordinator.

(b) The director/coordinator shall be at least
a high school graduate or equivalent with three
years of experience in mental
retardation/developmental disability program-
ming, but preferably a college degree with one
year of experience in mental
retardation developmental disability program-
ming.

Statutory Authority G.S. 122C-26; 143B-I47.

.0608 CLIENT/STAFF RATIO

Each sheltered workshop shall maintain an
overall direct service ratio of at least one full-

time or full-time equivalent direct service staff
member for each ten or fewer clients.

Statutory Authority G.S. 122C-26; 143B-147.

.0609 CLIENT EVALUATOR

(a) At least one staff member shall be desig-
nated as a client evaluator.

(b) The client evaluator shall have at least a
high school diploma, but preferably a college
degree, and shall have completed a five day
inscrvice training program in the evaluation
component of a licensed ADAP or sheltered
workshop or in another training program ap-
proved by DMH/MR/SAS.

Statutory Authority G.S. I22C-26; 143B-I47.

.0610 CLIENT RE-EVALUATION

(a) Each client shall be re-evaluated at least
annually.

(b) The re-evaluation shall include, but not
be limited to, the following:

( 1 ) a written summary of the client s yearly
progress to date;

(2) standardized and non- standardized as-
sessments when deemed appropriate
and applicable and correlated with the
original assessment; and

(3) assessment of the attainment of the in-
dividual program plan.

Statutoty Authority G.S. 122C-26; 143B-147.

.061 1 PROMOTION OF CLIENTS' RIGHTS

Clients shall be counseled concerning their
rights and responsibilities as participants in the
program in such matters as wages, hours,
working conditions, social security, redress for
injur>' and the consequences of their own tor-
tuous or unethical conduct.

Statutory Authority G.S. 122C-26; 143B-I47.

.0612 USE OF PUBLIC TRANSPORTATION
BY CLIENTS

Clients served by the sheltered workshop shall
be encouraged to use public transportation if
available.

Statutory Authority G.S. 122C-26; 143B-147.

.0613 CLIENT HANDBOOK

(a) Each sheltered workshop shall have a
client handbook including, but not limited to,
information about its services and activities.

(b) The client handbook shall be written in
a manner comprehensible to clients and re-
flective of adult status.

NORTH CAROLINA REGISTER

1041

niHnanBB

PROPOSED RULES

Statutory Authority G.S. 122C-26; 143B-147.

.0614 ACTIVITIES AND SERVICES

(; ) Activities and services shall be designed
and implemented with adherence to the prin-
ciples of normalization.

lb) Activities shall be provided in groups
derigned to promote community integration.

(c| Activities and services shall be aimed at
increasing age-appropriate actions, image and
appearance of the clients.

( d i Activities and services shall be directed
toward the preparation of the client to live as
independently as possible.

Statutory Authority G.S. 122C-26: 143B-147.

.0615 BUSINESS PRACTICES

(a) Supplies, materials or tools, if provided
by the sheltered workshop, shall be identified
as .1 separate amount in the bid price.

lb ) Wages paid to sheltered workshop clients
shall be on a piece rate or hourly commensu-
rate wage.

(ci bach client involved in productive work
shall receive a written statement for each pay
period which indicates gross pay. hours
worked and deductions.

(d) Prices for goods produced in the sheltered
workshop shall be equal to or exceed the cost
of production (including commensurate wages.
overhead, tools and materials).

Statutory Authority G.S. 122C-26; 143B-147.

.0616 ACCIDENT REPORTING

A written plan shall be established for the re-
porting of all accidents that occur during shel-
tered workshop activities, whether or not they
give rise to injuries requiring medical treat-
ment. The accident report shall contain the
following information:

( 1 ) identity of persons involved:

(2) place of accident:

(3) time of accident:

(4) name of responsible supervisor;
i 5 1 description of the accident; and
(6) emergency services rendered.

Statutory Authority G.S. 122C-26; I43B-147.

.0617 SAFETY COMMITTEE

(ai A safety committee comprised of staff
members and client representatives shall be

appointed to review accident reports and to
monitor the sheltered workshop for safety.

(b) The safety committee shall meet at least
quarterly.

(c) Minutes shall be kept of all meetings and
submitted to the program director with rec-
ommendations for needed changes.

Statutory Authority G.S. 122C-26; 143B-I47.

.0618 SAFETY EDUCATIONAL PROGRAM

Each facility shall provide an ongoing educa-
tional program for staff and clients designed to
teach them the principles of accident pre-
vention and control of specific hazards.

Statutory Authority G.S. 122C-26; 143B-147.

.0(. 19 SUSPENSIONS AND DISMISSALS

(a) Each sheltered workshop shall establish
written criteria and procedures for client sus-
pensions and dismissals.

(b) Dismissal shall be the result of a staff
assessment which shall include, but not be
limited to. those behavior(s) judged to be
harmful to self or others.

(c) Suspensions shall be the result of a staff-
ing process and shall be for a specific time pe-
riod, with all suspensions reported to the
referral agency if the agency has maintained an
active relationship with the client since the
time of referral.

Statutory Authority G.S. 122C-26; 143B-14' 7 .

CHAPTER 18 - MENTAL HEALTH: OTHER
PROGRAMS

SUBCHAPTER 181 - GENERAL
REQUIREMENTS

SECTION .0100 PURPOSE: SCOPE:
APPLICABILITY AND DEFINITIONS

.0120 DEFINITIONS

(a) For the rules contained in Subchapter 181
through 1SQ of this Chapter the following de-
finitions apply:

(1) -'Active Client - Mental Health Treat-
ment" means treatment provided for a
client who:
t-a- H A ; has a written plan of treatment.

with specific goals and time frames;
f^M_B_i is receiving treatment in accord-
ance with the plan: and
fe+[Cj has met face to face with a staff
member within the past 90 days.

104.

XORTH CAROLLXA REGISTER

PROPOSED RL'LES

(2) "Active Client - Substance Abuse
Treatment" means treatment provided
for a client who:

fc*}( A ) has a written plan of treatment,
with specific goals and time frames;

fb+Ui) is receiving treatment in accord-
ance with the plan; and

(o)(C) has met face to face with a staff
member within the past 30 days.

(3) "Active Client - Mental Retardation
Habitation" means developmental
programming for an individual who is
mentally retarded which is provided
under the auspices of the area program
or its contract agencies and initiated
with the development of an individual
program plan and ceasing when the cli-
ent enters follow along status.

(4) "Administering Medication'" means the
term as defined in 10 NCAC 14K .0103.
direct application &£ a medication
whether by injection, inhalation, wages
tion, e* »»¥ oth e r meant , to the client.

(5) "Affective Iiducation" means teaching
the individual to work with his own and
others' feelings and emotions for the
primary purpose of understanding or
modifying behavior and improving
skills for making healthy, responsible
decisions and for communicating effec-
tively.

(6) "Alcohol Abuse" means the term as
defined in 10 NCAC 14K .0103. the
pathological «se of alcohol to* h+ least
owe month that eaoses impairment i»
social of occupational functioning.

(7) "Alcohol Dependence" (alcoholism)
means the term as defined in ]_0 NCAC
14K .0103. either the pathological ose
of alcohol of impairment io social of
occupational functioning one to alcohol
consumption. Alcohol dependence
also includes the development e£ a state
of tolerance fof alcohol aod tbe man
ifestation of the withdrawal syndrome
following the cessation of reduction m
the intake of alcohol. 4+k* diagnosis of
alcohol d e pend e nc e does Hot imply of
include the d i agnosis of- mental illness
even though a ooal primary diagnosis
fof both alcohol dependence a«4 men
tol illness may coexist.

(8) "APSM 35-1" means "Standard for
Area Programs and Their Contract
Agencies" as codified in 10 NCAC 1SI
through 18Q and published by the di-
vision.

(9) Area Authority" (ar e a mental health,
mental retardation a«4 substance abuse
authority) means the governing ooit- e&-
tablished by a board fof boards . ) ©f
county comminiiionuro, with the ap-
proval of the Department of 1 luman
Resources aod the commission, which
is delegated the authority to serve a* the
comprehensive planning ; budgeting,
implementing ami monitoring body fof
community based mental health, men
tal r e tardation a&4 substance abuse
programs.

f44ty "Area Board" means a body of local
officials appointed by county commis
sioners a«4 delegated to serve as the
gov e rning body of the afea authority.
44*e board thus appointed h» the afea
authority fof the purposes of these
standards.

H-H(9) "Area Director" means an em-
ployee of the area board who is ap-
pointed by the area board with the
approval of the division director ac-
cording to the procedures delineated in
division publication APSR 105-1. The
area director is responsible for the ap-
pointment of staff, for implementation
of the policies and programs of the
board, compliance with the standards
of the commission, and for the super-
vision of all staff and service programs
under the auspices of the area board.

(12) (1Q) "Area Program" means the term as
defined in 10 NCAC 14K .0103. For
purposes of these Rules, the term "area
program" means the same as "area au-
thority" as defined m 122C-3. a legally
constituted public agency providing
m e ntal h e alth, mental r e tardation aft4
substance abuse services fof a catch
ment afea designated by the commis
sion.

fj-j- K 1 1 ) "Assessment" S e rvic e means the
term as defined in 10 NCAC 14K .0103.
a servic e provided to individuals fof the
purpose of determining the nature a«4
extent of the problem fof which the m-
dividual is seeking s e rvic e s. Ref e rral
services which direct, guide of hok- the
individual to oth e r scrvice(s) are pro
vided as indicat e d.

( 12) "Atypical development" means the
term as defined in 10 NCAC J4K .0103.

f4-4- K 13) "Behavior Modification" means
the quantifiable application of one or
more contingencies in a deliberate at-
tempt to increase or decrease the fre-

NORTH CAROLINA REGISTER

1043

PROPOSED RULES

qucncy of a specified action or behavior
of an individual.

(-4-H f 14) "Catchment Area" means a ge-
ographic portion of the state served by
a specific area mental health, mental
retardation and substance abuse au-
thoritv as specified in 10 NCAC 18W
.0001-.U003 (division publication APSE
105-2).

(4-fr- H 1 5) "Certified alcoholism counselor"
means an individual who is certified by
the North Carolina Alcoholism Coun
selor Substance Abuse Professional
Certification Board.

t-P4 < 16) "Certified drug abuse counselor"
means an individual who is certified by
the North Carolina Drug Substance
Abuse Professional Certification Board.

( 1 S> ( Pi "Certified substance abuse coun-
selor" means an individual who is cer-
tified by the North Carolina
Alcoholism Counselor Certification
Board »»4 bv the North Carolina Drug
Substance Abuse Professional Certif-
ication Board.

( i Si "Child" means the term as defined in
10 NCAC 14K .H103.

(19) "Chronically mentally ill adult" means
the term as defined in W NCAC 14K
.0103. at* mdi' . lduul 4A v ears el a^e h*

older who as a result el mental illness:
(-a+ has expenenced three t+f more epi-
sodes (-the number el s e rvic e program
e nrollments during a period ef- time) el
treatment le-* intensive than inpatient
h* the ka-4 y e ar, ef ha* expenenced tw-t+
psv chiutnc hospitalizations m a
12 month period. ef ha* ba4 a total ol
at- least 44 months el psychiatric treat
ment; a«4
ffe+ ah** sutlers impaired Ft4e functioning
requiring long term intervention m fcwe
ef more el the following areas: voca
tional. social, financial, residential, f*-
reational. ef basic hie •■ kill -. .
f4U+ "Client" means ae individual who f*
admitted k+r a&4 rcceiv mg serviceo
from. a» area program ef a component
el the ar e a program ef contract agency.
Within the context el the standards eh-
ewt i-» used interchangeably with "pa
tient". "member", "child" a«4
"r e sident."

hJ4- H20) "Client care evaluation study"
means evaluation of the quality of ser-
vices by measuring actual services
against specific criteria through col-
lection of data, identification and justi-

fication of variations from criteria,
analysis of unjustified variations, cor-
rective action, and tollovv-up study.

(43 H21 ) "Clinical staff member" means the
term as defined in 10 NCAC 14K .0103.
a professional who provides active
treatment te a client.

(33) "Commission" m e ans Commission tef
Mental Health. Mental R e tardation *m4
Substance Abuse Services.

*44- H22i "Component" or "program com-
ponent" means a service developed to
meet a particular need. The program
component is provided either through
operation by the area program or
through contract with a public or pri-
vate agency.

(-3»+ (23) "Contract agency" means a legally
constituted entity with which the area
program contracts for a service(s) as
defined in the standards exclusive of in-
termittent purchase of service for an in-
dividually identified client.

(46-H_24_) "Criminal justice system" means
a network which includes such elements
as law enforcement, attorneys, the judi-
ciary . adult corrections programs, (in-
cluding prisons, probation and parole)
and youth corrections programs.

f4^H_25j "Day night service" means a ser-
vice provided on a regular basis in a
structured environment for a specified
portion of a 24-hour period for the
purposes of socialization, reintegration
into the community, work readiness,
rehabilitation, recreation, or as an al-
ternative to hospitalization.

(4S- K26) "Detoxification" means the term
as defined in

10 NCAC 14K .0103. the

4 withdrawal el a» individual
from alcohol ef other drugs » order
that the individual eae participat e »

r e habilitation activities.
(39) "Developm e ntal Disubilit
sev e r e

means a
chronic disability el a person

which:

fa} k attributable te a mental ef physical
impairment ef combination el mental
afh4 physical impairments:

(4>f i» manifested before the person attains
age twenty two;

fe) is lik e ly te continue indefinitely;

(4} results » substantial functional him
tations » three e* more el the following
areas el major I4e activity: sell care, fe-
ceptive ae4 expr e ssiv e language, cupiic
rtv lef independent living, learning.

1044

\ORTH CAROLISA REGISTER

PROPOSED RULES

(27

mobility, sell direction t+«4 economic
sufficiency; af*4
(e) reflect ' . ' toe person ii need fof a com
bination ftftd sequence to sp e cial, inter
disciplinary, b* generic cure , tr e atment,
&f other sen ices which a*e to lifelong
ef extend e d duration atto afe individ
uully planned *h4 coordinated.

" Developmental delayed children''
means the term as defined m J_0 NCAC
14K .0103.

28J "Direct care stalT' means the term
as defined in 10 NCAC 14K .01(13. a»
individual who provide ii car e , treatment
t+f rehabilitation hubilitation sef*4ees to
clients eft a continuous a«4 regularly
scheduled basis.

(31 ) (29) "Disability group" means either
the mentally retarded, mentally ill, or
substance abusers.

(32) (30) "Disaster relief planning" means
arranging for the provision of crisis
counseling to survivors of major natural
or man made catastrophies in accord-
ance with the provisions of P.L. 93-288.

(-44- H 3 1 ) "Dispensing medication" means
the term as defined in 10 NCAC UK
.0103. issuing - to a client, t»f to a person
acting e» tos behalf. *-me »* more wto
doses ef a medication m- a suitable
container with appropriat e labeling.

(44- K32) "Division" means the same as the
term "DM11 MR/SAS" as defined in

Division to

Mental Health. Mental ■

Substance Abuse Services ef toe North

Carolina Department to 1 lumun Re-

sourccs.

(35) (33) "Documentation" means the term
as defined in 10 NCAC 14K .0103.
provision to written, dated em4 authen
ticated es idence to toe delivery 1 to client
services Bf compliance with standards.
ergrr entries m- toe client record, policies
afto procedures, minutes to meetings,
memoranda, reports, schedules, notices
*h4 announcements.

(36) (34) "Drug abuse" means the term as
defined in 1~() NCAC 14K .0103. toe
pathological t±se to drug s tor- to least
»«e month toto causes impairment »
social Bf occupational functioning.

(4^ (33) "Drug dependence" (addiction)
means the term as defined m J_0 NCAC
14K .0103. physiological dependence
evidenced by- either toe development to
a stat e to tolerance *+f toe manifestation
to toe withdrawal svndrome lollowina

toe cessation ef reduction m toe H>e to
toe drug. Drug dependence w* most
instances t* manifested by- a pattern to
pathological drug t»e toto causes iwt-
pairment m social e* occupational
functioning. Pe* Cannabis dependence
a pattern to pathological «*e ©f impair
ment to social e? occupational func
tioning i§ present. 44*e diagnosis to
drug dependence does Hto imply e* m-
clude toe diagnosis to mental illness,
even though a ttoal primary diagnosis
tor- both drug dependence asto mental
illness m&r coexist.

f4&} (36) "Fmergency sendee" means an
assessment service which is provided on
a 24-hour non-scheduled basis to indi-
viduals for immediate
screening/assessment of presenting
problems. Crisis intervention or refer-
ral to other sendees are provided as in-
dicated. These senices may be
provided either in a hospital or non-
hospital setting.

f4£+ "Fxccption" means a» individual

at ion to which toe commission indicates
by- a final agency decision m- a contested
ease toto aft afe« program e* contract
agency » wto required to comply with
a specific standard. A-» exception to a
standard h> granted according to toe
provision to 44) NCAC 4** 4444*.

(40+ "Facility" means toe physical area, «-
eluding both buildings afto grounds,
wliich hs under toe auspices to toe pro
gram component.

( ■ I 1 ) (37) "First aid" means the term as de-
fined in J_0 NCAC 14K .0103. emep-
gency treatment fof injury Sf sudden
illness before regular medical eafe is
available. First ato includes artificial
respiration, toe 1 Ieimlich maneuver,
eafe to wounds &&4 bums. a«4 tempo
rar-y administering e4 splints.

(12) ( 38) "Follow along" (for mental retar-
dation client) clients) means provision
by the agency for a continuing re-
lationship with the client for the pur-
pose of assuring that the client's
changing needs are recognized and ap-
propriately met.

(4rH ( 39 ) "Foster Parent" means an indi-
vidual who provides substitute care for
a planned period for a child when his
own family or legal guardian cannot
care for him; and who is licensed by the
N.C. Department of Human Resources
and supenised by the County Dcpart-

NORTH CAROLINA REGISTER

1045

PROPOSED RULES

mcnt o( Social Services or by a private
program licensed or approved to engage
in child care or child placing activities.

(-444 (40) "Governing bodv" means the term
as defined in JO NCAC 14K .011)3.
those person who hy- law, chart e r, urti
ele* Bf incorporation. partnership
agreement, 9f oth e r legally rccogm/ed
milliner have t-H+1 legal authonty fof the
overall operation b+ the program.

(4§) "(. iuurdiun" meaas a pefsea appointed
by a court b+ comp e tent jurisdiction £bf
the purpose b4 performing duties related
k* the care, custody bf control bI the
client which include, h«t af» fh-4- limited
tBr consenting fbf medical surgical pro
cedures Bf treatment procedures a«4
handling b+ besmess Bf l e gal affairs, fe
the case b+ a minor, "guardian" mean ;,
a parent bf person r . tunding m- h>eB
parentis excluding the component.

(46} "1 luhilitation" means education, train
hfgr ea*e c+h4 specialized therapies Hft-
dertaken tB assist a client m- achieving
bf maintaining progress ff> develop
mental skill areas.

f4^4 (41 ) "He His Him" means pronouns
used throughout these standards for
convenience and consistency for refer-
ence to both sexes.

(42) "I ligh risk children" means the term
"~ as defined in 10 NCAC I4K .0103.

means the
I4K .0103.

f4>i->- (43) "Hours of operation'
term as defined in 10 NCAC

aft indication ei the minimum opera
tional hours that a sen ice f* expected
t# Be availabl e tB l li e nt -. . b«t FFBt pro
hihiting the typical closing b£ a senic e
tB accommodate holidays, vacations.
Staff development activities af>4 weather
awd- facility related conditions.

<4% (44) "Individual goal plan" (for clients
% ho afe mentally retarded) with mental
retardation or otherwise devclop-
mentallv disabled) means the term as
defined in _10 NCAC 14K .0103. a
written plan v . Inch includes measurable,
date specific, short range objective '.
which aft* assessed a«4 developed bf
restated at l e ast quarterly based Bft the
strengths aw4 needs b£ the client aftd-
which identifies specific stall' rcsponsi
hiliti e-. an4 r e lat e s tB the annual indi
vidual program plan.

f4U+ (45) "Individual program pkm'' (for
clients who ate mentally retarded | with
mental retardation or othenvise devcl-
opmentallv disabled) means the term

as defined in 10 NCAC 14K .0103. a
written plan which includes long range
objectives f-Bf the client bas e d bh e val
uations, obscnations tm4 other client
assessment data aftd which is e stab
lished within W4 days following admis
»Bft b£ the client aed- assessed *r4
redeveloped at least annually from the
date b£ placement.

(-54-H_46j "Individualized education pro-
gram" means a written statement for a
child with special needs that is devel-
oped and implemented pursuant to 16
NCAC 2E .1500 (Rules Governing
Programs and Senices for Children
with Special Needs) available from the
Department of Public Instruction.

(-53- K47) "Individual treatment plan" (for
mental health substance abuse clients)
means the term as defined in J_0 NCAC
14K .0103. a pk» ei treatment fof the
client initiated within 34 hour '. b£ ad-
mission tB a treatm e nt program (pre
liminary treatment plan) aftd-
implemented at l e ast within 444 days Bf
admission. 44+e plan contains , time
specific short aftd- long term goals aftd-
identities dir e ct eafe *taft responsible tBf
the provision b+ treatment aftd rehabili
tution senices tB the client. 4-be mdi
v idual treatment plan fs- synonymous
with the individual sen ice plan.

(4S) "Infant" means the tenn as defined in
10 NCAC 14K .0103.

(53 fr { 49] "Inpatient sen'ice" means a ser-
vice provided in a hospital setting on a
24-hour basis under the direction of a
physician. The senice provides con-
tinuous, close supendsion for individ-
uals with moderate to severe mental
health or substance abuse problems.

(5 1 ) (50) "Justice treatment sen'ices" means
consultation, treatment or educational
sen'ices offered by the area program to
components of the criminal justice sys-
tem for individuals who have been in-
dicted, prosecuted or incarcerated.

(■»» H 5 1 ) "Legend Drug" means the tenn
as defined in ]0 NCAC 14K .0103. a
drug that cannot he dispensed without
a prescription.

(4^ "Mechanical Restraint" means limita
tn+p b4 the cli e nt s freedom b+ move
mcnt with the intent s+> controlling
beha' i lor by- mechanical devic e s vv Inch
include, httt afe ftBt limited tBr cufls,
ankl e '. traps, sheet '. Bf r e straining shirts.
h- dees ftBt includ e therapeutic restraint

1046

SORTH CAROLI.XA REG ESTER

PROPOSED RULES

©f enabling devices ese© fof medical
conditions ©f t© assist a non ambulu
t©fy client to maintain a normative
body position, h alse iees set include
handcuffs used fof e scorting purposes
with forensic clients.

(42- H52) "Medication" means the term as
defined in J_0 NCAC 14K .0103. a
substanc e recognized i» the ofTicial
"United States Pharmacopoeia" e*
"National formulary" intended fof ese
ift the diagnosis, mitigation, tr e atm e nt
e* prevention ef disease.

45&) "Mental lllneoo" means en* emotional
disorder which se lessens the capacity
ef the p e rson t© ese self control, judg
ment a«4 discretion h* the conduct ef
hi* alfairs aft4 social relations a* t©
make tt necessary ©f advisable £©f hh»
t© he und e r treatment, supervision,
guidance ©f control.

{SO} "Mental R e tardation" means signif
icantly subaverage (i.e., tw© ©f more
standard d e viations b e low the m e an)
general intellectual functioning existing
concurrently with deficits » adaptive
behavior tm4 manifested during the 4e-
vulopmental period (i. e ., b e for e age 4-8^

(40- K 53) "Minor client" means the term as
defined in 10 NCAC 14K .0103. a
person under 4-8 y e ars , el «ee who has
set been married ©f who has fte* been
emancipated by a decreo issued by a
court of- competent jurisdiction 9* is »©t
a member ef the armed forces.

(4h> (54) "Normalization principle" means
the principle of helping individuals to
obtain an existence as close to normal
as possible by making available to them
patterns and conditions of every day life
that are as close as possible to the
norms and patterns of the mainstream
of society.

ffc^ (55) "Nurse" means the term as de-
fined in 10 NCAC 14K .0103. a person
licens e d t© practice m the Stat e ©f
North Carolina either as a registered
nurse « »» licensed practical nurse.

fej- K 56) "Parent" means the term as de-
fined in 10 NCAC 14K .0103. the hi-
ological ©t adoptive mother ©f lather

J^ T ' i *->T i n ■ \ r . -liLitit i~\ f 1 1% . > r\ . \ «-. jmi t-A Qjaj I » »i ■ i
l ? I cT I I I 1 1 1 1 > 1 CnVITTi O I I 1 H~ I'LI .".'11 3 I H 1 1 (.1 I I I E

ift l©e© par e ntis excluding the facility,
©f the legal guardian ©f a minor client.
f44-H57| "Peer review" means the formal
assessment by professional staff of the
quality and efficiency of services or-

dered or performed by other profes-
sional staff.

(4£ fr(58) "Periodic service" means a service
provided through short recurring visits
for individuals who are mentally ill,
mentally retarded or substance abusers
who can function in their normal envi-
ronment.

(-64) "Physician" means a medical doctor
who is licensed t© practice medicine i»
the Stat e ©f North Carolina under the
provisions ef G^r 0Q-4&T

(42) "Practicing Psychologist" means a
psychologist wh© is lic e nsed as a prac
ticing psychologist i» the State ef North
Carolina.

(68) (59) "Prevention/intervention service"
means a service provided to the general
public or major segments of a commu-
nity. Service activities include coun-
seling, information, instruction, and
technical assistance with the goals of
preventing dysfunction and promoting
well being.

(6Q) (60) "Privileging" means a process by
which each staff member's credentials,
training and experience are examined
and a determination made as to which
treatment habitation modalities he is
qualified to provide.

(70) (61') "Program evaluation" means the
term as defined in 10 NCAC 14K .0103.
the systematic documented assessment
ef program activity t© dctcrmino the ef-
fectiveness, efficiency, aftd- scop e ef the
system under investigation, te define its
str e ngths aftd weaknesses a»4 thereby
te provide a basis £©f informed deci
oion making.

(-24- K62) "Psychiatric nurse" means the
term as defined in 10 NCAC 14K .0103.
ae individual who is licensed te practice
as a registered nurse i«- the State ef
North Carolina hy the North Carolina

IJ.i'L.-, I si t X nr.'inn • i 1-1 ■ 1 u ilin 1 C a QJQ /ln.il.i

ui'iiiu v. 1 1 1 nzmaic in iu tttttt ttt cr ctttttttttttt

ef aft accredited master's lev-el program
» psychiatric mental health nursing
with tw© y e ars ef experience, ef has a
master's degr ee ift behavioral sci e nc e
with tw© years ef supervised clinical
experience, ef has few years ef expeii
enco ift psychiatric mental health nurs

(72) (63) "Psychiatric social worker" means
the term as defined in K) NCAC 14K
.0103. aft individual who holds a mas
tet^ degree ift social work from aft ae-
cr e dited school ef social work aft4 has

NORTH CAROLINA REGISTER

1047

PROPOSED RULES

.e ar *. of clinical serial work l»k pun

k3-M ( M ) "Psychiatrist" means the tenn as
defined in JO NCAC 14K .011)3. a»
individual who f* licensed to practic e
medicin e h+ the State of North Carolina
a»4 who has completed aft accr e dited
training program o* psychiatry.

(?44 {65) "Psychotherapy" means the tenn
as defined" in 10 NCAC 14K .0103. a
lonn of treatment of mental illness of
emotional disorder -, which is based pri-
marily upon verbal of turn verbal com
nuinication with the patient
Treat ment fs provided by a trained
prole '. ». ional tof the purpose of remov
Foe. ef moditv tag existing symptoms, ef>
attenuating of reversing disturbed pat-
terns of behavior, aod t-4 promoting
positive personality growth a«4 devel
opm e nt.

(3S} ( 66 1 "Psychotropic medication" means
the term "as defined in ]0 NCAC 14K
.0103. medication with the primary
function t-4 treating mental illn e ss, oef-
sonality of behavior disorders. These
medication ', include r hot afe Hot limited
tor antipsychotics, antidepressants, ffh-
oof tranquilizers rt«4 lithium.

(-#4 (67) "Qualified alcoholism

professional" means the tenn as defined
in 10 NCAC 14K .0103. ao individual
who is certifi e d by the North Carolina
Alcoholism Counselor Certification
Board of vv ho is a graduat e of a college
of university with a baccalaureate of
advanced degree fff a human service Fe-
lat e d field with documentation of at
least t*t* y ear -. of supervised experience
Fft the profession of alcoholism coun
seling.

f?^ (<>S) "Qualified client record manager"
means an individual who is a graduate
of a curriculum accredited by the
Council on Medical Education and
Registration of the American Medical
Record Association and who is cur-
rently registered or accredited by the
American Medical Record Association.

(3&X69) "Qualified drug abuse

professional" means the term as defined
in 10 NCAC 14K .0103. aa individual
who fs certified hy- the North Carolina
Drug Ahii '. e Professional Certification
Hoard of w ho fs a graduate of a colleg e
Of univer '. ity with a baccalaureate Of
adv iinced degree ff> a human servic e re-
hited field with documentation of at

least two y ears , of supervised experience
m the profession of drug abuse coun

I 70) "Qualified mental health profes-
sional" means the tenn as defined in j_0
NCAC 14K

.0103.

■ I t\ y i \fi t ^ • \i t Vi±± t , 1 1

umt <. ' i rv trr rrtt? 1 l ti

lowing: psychiatrist, psychiatric nurse,
practic i ng psychologist, psychiatric so-
taal worker, aft individual with a mas
ter s degree Fft a related human service
field aftd two years of supervised clinical
experience fff mental h e alth services of
ao individual with a baccalaureate de-
gree i» a related human service field aftd
foof years , of supervised clinical e xp e ri
unce m mental health services.
(-{■44 (71) "Qualified mental retardation

professional" means the same as the
tenn "Qualified developmental disabili-
ties professional" as defined in 10
NCAC 14K .0103. aft individual who
holds at least a baccalaureat e degree to
a discipline related to developmental
disabilities, of holds a license , to practice

H i i t-. < » \ , | ■ . «--\ . 1 ii ■ I M-i l-i 'i £• a t \ ■ 1 " c i -~^ Q Q i . t l i
'. I ! ' 1 1 T ™ J CTTTTT »t I III 1 III ■ I til 1 LU 3 1 U 1 IV. T till

of experience fft working with mentally
ret anled individuals.

(§44(721 "Qualified nutntionist" means the
term as defined in JO NCAC 14K .0103.
ao iiulividual who has a master's degre e
m nutrition, nutrition education of
public health nutrition af>4 who may
of may oot be a register e d dietitian.

(-^J4 ( 73) "Qualified substance abuse pro-
fessional" means the term as defined in
JO NCAC 14K .0103. ao individual
who fs certifi e d hy the North Carolina
Alcoholism Counselor Certification
Hoard aftd the North Carolina Drug
Abuse Professional Certification Board
of who is a graduate of a college of
univer '. ity with a baccalaureate Of ad-
vaiiced degree m- a human servic e re-
lated ht44 with documentation of at
least two years of supervised experience
to the profession of alcoholism t±&4
drug abuse counseling. f» addition, at
l e ast M) percent of the qualified sub
stance abuse professional's work expe
rienc e must he i» the profession of
alcoholism m^4 drug abuse counseling.

(-X4 K 74 ) "Registered dietitian" means the
term as defined in 10 NCAC 14K .0103.
aft individual who has successfully
completed a national examination fof
the Commission oh- Diet e tic Regi '. tra
ttoft a«4 maintains reuistration vvith

104S

NORTH CAROLINA REGISTER

PROPOSED RULES

tl+at- commission through approved
continuing education activities events.
(75) "Rehabilitation" means the term as
defined in

defined in

NCAC 14K.(
Research" means
NCAC 14K

the term as

. H 103. in-
quiry involving a tnal e>f special ohser
vation made under conditions
determined by tb<* investigator t*4 con
fi««- t+? disprove aft hypothesis, t*f te
explicate som e principle «* effect.

( S 5) (77) "Research review board" means
a group comprised of at least five
members which has the authority to
approve, require modification, or dis-
approve proposed research projects of
the area program or its contract agen-
cies. Individuals not directly associ-
ated with research projects under
consideration comprise a majority of
the review board. The review board
may be established by the program
conducting research activities or by an-
other public or private agency, institu-
tion or organization.

(S6') (7S) "Residential service" means a
service provided in a 24-hour living en-
vironment in a non-hospital setting
where room, board, and supervision are
an integral part of the care, treatment,
habilitation or rehabilitation provided
the individual.

(79) "Respite episode" means the term as
defined in 10 NCAC 14K .0103.

(SO) "Screening" means the term as defined
in 10 NCAC 14K. .0103.

£S7+ "Seclusion" m e an ?, isolating a client m
a ouparatu lock e d room h* a room from
which he cannot e*rt fo? 4n* purpose
©f controlling a cli e nt s behavior, ke-
clusion does sot- include time e«t
rooms which a#e h©4- locked.

(SS) (8 1 ) "Severely physically disabled per-
son" means for the purpose of ADAP
(Adult Developmental Activity Pro-
gram) the term as defined in J_0 NCAC
14K .0103. a person:
fa+ who ha* a severe physical disability
which s e riously limits b» functional ca-
pabilities (mobility, communication,
self care, self direction. V i ork tolerance
Bf work sldlls);
fb-^ who has e#e ©f more physical disa
bilities resulting from amputation, a^-
thntis. blmdness. cancer, cerebral palsy,
cystic fibrosis, deafness . , heart disease,
hemiplegia, hemophilia, r e spiratory ©f
pulmonary dysfunction, multiple scler

©«*r mus i cular distrophy, musculo sk
eletal disorders, neurological disorders
(including stroke an4 epilepsy), para
plegia, quudnpl e giu, aft© other spinal
cord conditions, sickl e e«44 anemia an4

."**-> ' < . • * ' ' ' * ■ * V. \V-l ll . IlL'U'lt t j' ■ 1 tA H

L. ! 1U '.'111 EO 1 I. ! IUI (_I I .'I.U .'\- , CTTTTT

fe) whoso habilitation ©f rehabilitation
ea» bt* expect e d t© require multiple ha-
bihtation ©? rehabilitation sen ices over
a» e xtended period ©f tune

f£Q4 (S2) "Standard client record" means a
written account of all services provided
a client from the time of formal accept-
ance of the client by the area program
or contract agency until termination of
services. This information is docu-
mented on standard forms which are
filed in a standard order.

(Q0) (S3) "Standards" means minimum

standards defined m &&r 122 35.36(9)
as specifications of the required basic
levels of activity and required basic lev-
els of human and technical resources
necessary for the implementation and
operation of mental health, mental re-
tardation and substance abuse pro-
grams. Standards are officially titled
"Standards for Area Programs and
Their Contract Agencies", are codified
m 10 NCAC 181 Through 18Q and are
published by the division as APSM
35-1.

(-Q4- K84) "State facility" means a facility
operated by the division and which
provides mental health, mental retarda-
tion or substance abuse services.

(-97* 4(85') "Student" means an individual
who is participating in a prescribed
course of instruction, for example, an
individual who is enrolled in an alcohol
and drug education traffic school or a
drug education school.

f9©4 "Substance Abuse" means abuse ©f
alcohol ©f other drugs.

(£44 (86) "Substantially mentally retarded
person" means the term as defined in
10 NCAC 14K .0103. for the purpose
©f ADAP a person who is mentally f©-
tarded t© tb© degree ©£ seriously limiting
h» functional capabilities, whose habil
itation ©f rehabilitation eaft be expected
to e xt e nd ov e r a p e riod ©f time, aft©.
including:
(a) moderately mentally retard e d persons:
fb4. s e verely mentally retarded persons:
(e) profoundly mentally
©t

NORTH CAROLINA REGISTER

1049

PROPOSED RULES

(4+ mentally retard e d pef§eas wttb a
handicapping condition st» sovoro a* t»
taeb tbe potential fof employment at
tbis tim e , either h* a sheltered ef com
petitive setting, b* addition, ouch indi
vidua! ij mu ' .it hav e a deficit » self help,
communication, socialization w oocu
pational skills a»4 be recommended by
tbe vocational rehabilitation counselor
fbf consideration ef placement » a»
ADAP.

(95) (87') "Support service services" means
the term as defined in _10 NCAC 14K
.011)3. a service provided t» onhanco
aft individual's progress ift 14s primary
treatment habilitation program.

( 1 > 6) (8S) "Telephone counseling service"
means an organized and publicized ser-
vice providing short-term supportive
counseling, referral, crisis intervention
and information.

(97) (89) "Testing services" means the ad-
ministration and interpretation of the
results of standardized instruments for
the assessment, diagnosis or evaluation
of psychological or developmental dis-
orders.

(flS) CJO) "Utilization review" means ex-
amination of the appropriateness of ad-
mission, services ordered and provided,
length of treatment and discharge prac-
tice usually on a concurrent basis.
Utilization review focuses upon the in-
dividual client.

fQ% (Ql) "Vocational rehabilitation

services" means services available to el-
igible mentally and physically disabled
citizens who, with reasonable accom-
modations, can perform the essential
function of the job in question as de-
fined in the Rehabilitation Act of 1973
(P.L. 93-1 12 as amended).
(b) In addition to the definitions contained
in this Rule, the terms defined in (US. 122C-3
also apply to all the Rules in this Subchapter
and Subchapters 141 through. 140 of this
Chapter.

Statutory Authority G.S. 122C-3; 143B-147.

SUBCHAPTER 18.1 - AREA PROGRAM
MANAGEMENT STANDARDS

SECTION .0400 - PROGRAM PLANNING

.0408 INTRODUCTION (REPEALED)

.0409 ANNUAL PLAN OF WORK (REPEALED)

Statutory Authority G.S. I22C-143; 143B-147.

SECTION .0600 - STATE FACILITY
RELATIONSHIPS

.0602 SINGLE PORTAL OF ENTRY AND
EXIT DESIGNATION

Each area program shall oorvo a* tbe primary
portal ef- entry aft4 e*ff fof its catchment a^ea
clients i» state facilities oxcopt tbe North Ga-
rolina Special Care C e nt e r m Wilson, author-
ity desiring designation as a single portal area
shall comply with the requirements of G.S.
122C-132.

Statutory Authority G.S. 122C-132; 143B-147.

SECTION .0700 - QUALITY ASSURANCE

.0709 CROSS-REF TO CLINICAL

SUPERVISION OF SUBSTANCE
ABUSE STAFF

fa} Each component shall implement a
written plan »f clinical supervision fop staff
who provide substanco abuse clinical sorvicoo
a«4 who afe »et qualified alcoholism, drug
abuse &f substance abuso prof e ssionals.

(bf Each clinical staff member who is F*»t a
qualified alcoholism, drug abuso e* substance
abuse professional shall have a» individual
plan el clinical supervision.

(e} Each clinical staff member whoso primary
afee ef service delivery is alcoholism shall be
supervised by- a qualified alcoholism profos
sional ef by- a qualified substanco abuso pro
fossional.

(4} Each clinical staff m e mber whoso p«-

TTTCTT ▼ m^TTT I Tl Bv3 ¥ fvV U V.T ITVf T IT7 UJ 1!" CTC^mW rTTTTTT

be supervised by a qualifi e d drug abuso pro
fossional en 1 by a qualified substanco abuso
prof e ssional.

\ \~ j mrn i. i l i i ivui rrmrT 1 1 rei 1 1 1 'i_'i ti rqoo i'iiiiiiii t

afea &{ servic e d e livery is both alcoholism aft4
4f«g abuso shall be supervised by a qualified
substanco abuso professional.

(a) Clinical supervision of substance abuse
staff shall be implemented according to the
provisions of 10 NCAC 14K .0319 (b) (3), (4)
and (5).

(b) For purposes of the Rules of this Section,
the term "facility" in 10 NCAC 14K .0319
shall be interpreted to mean "component".

Statutory Authority G.S. 143B-147.

.0712 EMPLOYEE EDUCATION AND
TRAINING

(a} Each component shall provid e &f secure
orientation programs a«4 annual continuing
education a«4 training fof employees te- eft-

1050

NORTH CAROLINA REGISTER

PROPOSED RULES

ha ne e their competencies cm4 kaewledge
ne eded to administer, manage *h4 deliver
quality sefviees; 44+e education ««4 training
activities shall address at a minimum the needs
hl ontifiod by tfee quality assurance pro coos *h4
re atcd committees.

f^ Each component shall asswe the main
tenance e£ aw- ongoing record e+ ah education
fcH+4 training activities provided of seewed to*
employees.

{.i± Each component shall comply with the
pr ovisions of HI NCAC UK .0307.

(b| lor purposes of the Rules of this Sec tion.

the term "facility'

10 NCAC 14K .0307

shall he interpreted to mean "component'

Statutory Authority G.S. I43B-147.

SUBCHAPTER I8L - PROGRAM
COMPONENT OPERATIONAL STANDARDS

SECTION .0300 - FACILITIES
MANAGEMENT

.0333 CROSS-REFERENCE TO INDOOR
ACTIVITY SPACE

(a+ Each facility ' . . hall have a reception area
fof clientr . a«4 visitors.

fb4 liach facility '. hall have private space fcvf
intervi e ws a«4 conference ', with clients.

Each residential and respite facility shall
comply with the provisions of j_0 NCAC 14K
.0325 (1).

Statutory Authority G.S. 143B-147.

.0334 CROSS-REFERENCE TO OUTDOOR
ACTIVITY SPACE/EQUIPMENT

/'I I I )f, -t . r-w ■ «-»-i , 1 li - i t nr; 1 i ■ « . 1 . t ■. tn l. 'ti ir.i.l iinl.i.nr

\U f 1 I II IH Ulll.' 11 111 I I'M M 1UU -' L 1 LI V. I LI I VTI CmTTTTTT^T

activities fef clients shall provide space that »
suitabl e fo* the ages a*4 treatment hahrtitation
needs el the clients served.
(h4 Outdoor equipment shall he maintain e d

» \ } i \l It i T ' t "" i I ' 1 j T . . 1 ^^^^^J L^^^ 1 | . j

Each facility shall comply with the provisions
of ]0 NCAC 14K .0326.

Statutory Authority G.S. 143B-I47.

.0337 CROSS-REFERENCE TO INDOOR
LIVING SPACE

(a} Each residential facility shall have indoor
space fof group activities *h4 social gatherings.

(h} -Phe »**» h* which therapeutic »«4 hahi
litative activiti e s a*e routinely conducted shall
he separate from sleeping areas.

fei Individual space shall he provided fof the
storage of each resident's personal belongings.

Each residential and respite facility shall
comply with the provisions of J_0 NCAC 14k

.0325 (3), (4) and (S).

Statutory Authority G.S. /43B-J47.

.0338 CROSS-REF TO PRIVACY FOR
PHYSICAL EXAMINATIONS/
MEDICAL PROCEDURES

Wh e n physical examinations of medical ofo-
ceduros afe performed m a»y c omponent, the
examination afea shall afford privacy fof the
client.

Components performing physical examina-
tions or medical procedures shall comply with
the provisions of 10 NCAC 14K .0340.

Statutory Authority G.S. 1 43 B- 1 47.

SECTION .0400 - CLIENT RIGHTS

.0429 CROSS-REFERENCE TO COMPLIANCE
WITH STATUTES

In addition to G.S. 122C, Each each compo-
nent shall implement its services in such a
manner as to ensure the rights accorded all
clients as required by the following:

(4-> G^rr 122 55.1 through 122 55. M <-Pa-
tients Rights);

f^jj G.S. 131D-19 through 131D-24
(Domiciliary Home Residents' Bill of
Rights);

(4^(2} G.S. 10SA 150 108A-99 through
108 A 162 10SA-111 ( ?he Protection of
the Abused, Neglected or Exploited Disa-
bled Adult Act); and

(44(3] G.S. 7A-542 through 7A-552 (Screen-
ing of Abuse and Neglect for Juveniles).

Statutory Authority G.S. 7A-542 through 7A-
552; 108A-I50 through I08A-I62; U5C-Article
9; 122C-5I through 122C-62; 13 ID- 19 through
I31D-24; 143B-147.

.0432 CROSS-REFERENCE TO CLIENT
GRIEVANCE POLICY

The governing body of each component shall
develop a«4 implement a written client griev
anc e policy which id e ntifies procedures f-of pe-
view a«4 disposition of client grievances.
comply with the provisions of J_0 NCAC 14K
.0328.

Statutory Authority G.S. 143B-147.

SECTION .0600 - CLIENT ELIGIBILITY

.0604 CROSS-REFERENCE TO CLIENT FEE
FOR SERVICE

NORTH CAROLINA REGISTER

1051

PROPOSED RULES

The governing body ot each component shall
develop written policies fef client fee assess
mont rt«4 collection practic e s, comply with
the provisions of W NCAC 14K .0309.

Statutory Authority G.S. 122C-146; 143B-147.

SECTION .0700 -
TREATMENT/HABILITATION PROCESS

.0702 CROSS-REFERENCE TO ADMISSION

bach Lompononi '. hall have writ ton admission
procedures which shall include at- least the fet-
lowing:

(-44 specification 4 the individual t+f group
authorized 4+ determine the admission el
a» individual;

44 agreement between the residential facility
rH*4 parent;' , el minor; . , (with the exception
i-4' mmorr . seeking treatment without paf-
ental con; . ent ), &f guardians 4 p e rsons
adjudicated incompetent which shall de-
lin e at e the responsibiliti e s el both parties
4f t-he provision 4 medical *h4 dental
sop . ices, education aF4 other needs; a«4

44 provisions 14f complianc e with the rules
e» "Admission Procedures fof Minors e>f
Persons Nun Compos Mentis 4+ Non
Restrictive Treatment facilities" as codi
144 h» 44 NCAC 444* 444444 through 4444
adopt e d e ll e ctiv e April 4 4-*444 af4 avail
able fh- division publication APSR ' 15 11.
II conflicts e xist between the rul e s 4 44
NCAC 44H- 4444 throuoh 44444 at4 the
f4<* » 44 NCAC 444 through 4444t the
more specific a«4 strineent rules shall ap-
ply,

(a) bach component shall comply with the
provisions of 10 NCAC 14K .(1313.

(b) For purposes of the Rules in this Section,
the term "facility" m U) NCAC UK. .0313
shall be interpreted to mean "component".

Statutory Authority G.S. 143B-147.

.0703 CROSS-REFERENCE TO ASSESSMENT

44 bxcept 14f inpatient hospital treatment
programs f4f individuals who ate alcohol *h4
other drug abuser ., which •■ hall comply with
the provision .. 4 444 NCAC 4-44 M43-, eaeh-
component shall have written procedures fof
the conduct 4 the admission assessment.

(4h Those procedures shall delineat e the
standardized information required which £4 a
minimum shall include:

(44 the present condition el the client Fe-
portod fh- objective, beha 1 . loral terms.

a«4 where possible a description 4 the
applicant's condition by significant
others;

f4) social, educational aft4 medical histories:
and. 4 appropriate, vocational, d e vel
opmental. psychiatric, legal a*4 nutri
tional histories: a«4

(4} determination 4r af4 request fefr addi
tional relerrals i4f special diagnostic
tests, assessments ef e valuations. If
ne e ded

(a) Each component shall comph' with the
provisions of 10 NCAC 14K .0314.

(b) I or the purposes of the Rules of this
Section, the term "facility" in J_0 NCAC 14K

(1314 shall be interpreted to mean
"component".

Statutory Authority G.S. I43B-147.

.0705 CROSS-REFERENCE TO INDIVIDUAL
TREATMENT/PROGRAM PLAN

4*4 bach program component which pro
vides activ e tr e atm e nt habilitation shall 4e-
velop a» individual treatment program plan fof
each client based upon a» evaluation (4 the
client s condition, asset ;. a*4 needs at4 the Fe-
sourc e s 4+ meet these needs. 1 his plan shall
provide a systematic approach 4v the
treatment habilitation el the client a«4 s«fe-
stantiate the appropriateness 4 current treat
ment t>F habilitation goals.

(4*4 4he individual treatment plan I&f mental
health af4 substance abuse clients shall be
consistent w4b the diagnosis at4 shall be t44e-
umented 4 the client r e cord as follows:

44 The preliminary treatment plan shall be
initiated within 44 hours 4 admission
af4 shall be based up em information
gathered during the admission assess
mont.
434 44e comprehensive treatment plan shall
be established within 44 4ay-s 4 admis
4e» at4 shall be based upon informa
t4» gathered during the evaluation
process.
(44 Progress note; , shall be written 4» reflect
progress towards the goals, a* deline
ated 4 the comprehensive treatment
plan.
44 44+e comprehensive treatment plan shall
be l e sis e d whenever 4 fs medically t+f
clinically indicated.
(-4 A thorougli review 4 the comprehen
SFV-e treatment plan shall be earned t+wt
at4 documented ff> the plan at l e ast
ovorv s+s months.

1052

\ORTH CAROLIXA REGISTER

PROPOSED RULES

(e) 4foe individual program f4a» fof mental
rL ' turdatiun clients ahull fee documented fo foe
client record as follows:

ffe} -ffee individual program f4a» shall fee
developed within 60 days following
placement.
f3| 4foe plan shall fee assessed a«4 redevol
oped at least annually from foe date »f
placement.
fd4 44te plaft shall fee reviewed as habili

tatu)n change"; . .
f-H 44** fdas- shall provide foe basis fof de-
velopment ef individual goal plans.
(44 44te treatment . program jfom- shall fee de-
veloped » partnership wifo foe client &f indi
vidual acting fo behalf tff foe client.

(a) Fach program component shall comply
with the provisions of 10 NCAC 14K .0315.

(b) For the purposes of the Rules of this
Section, the term ••facility" in HI NCAC 14K
.0315 shall be interpreted to mean "program
component".

Statutory Authority G.S. 122C-51; 143B-147.

.0706 CROSS-REFERENCE TO DISCHARGE
AFTERCARE

At discharge foe program component shall
d e velop a writt e n summary e4 foe client s ad-
mission findings, tr e atm e nt habilitation, con
dition »» discharge a»d recommendations fop
lurther programming including responsibilities
ef foe component, if awy-r following discharge.

(a) Fach program component shall comply
with the provisions of ]0 NCAC 14K .0316.

(b) For purposes of the Rules of this Section,
the term "facility" in 10 NCAC 14K .0316
shall be interpreted to mean "program com-
ponent".

Statutory Authority G.S. MSB- 147.

.0707 CROSS-REFERENCE TO SERVICE
COORDINATION

fa) Coordination shall fee maintained among
aH staff members contributing to foe evalu
ation. planning and treatment habilitation ef-
fort fof e ach cli e nt. This may fee accomplished
fo a variety ef ways, such as interdisciplinary
t e am meetings, interagency meetings and ease
management.

rtH Fach program component utilizing shifts
Bf- relief staff shall d e velop mechanisms to en-
swe adequate communication among staff Fe-
garding clients.

(a) Each program component shall comply
with the provisions of 10 NCAC 14K .0318.

(b) For purposes of the Rules of this Section,
the terra "facility" in K) NCAC F4K .0318
shall be interpreted to mean "program com-
ponent".

Statutory Authority G.S. 143B-147.

SECTION .0800 - HEALTH PRACTICES

.0804 CROSS-REFERENCE TO MEDICAL
EMERGENCIES

Fach component shall develop and implo
ment a written f4a» to fee utilised fo medical
emergencies involving chento.

Fach governing body shall comply with the
provisions of 10 NCAC 14K. .0335.

Statutory Authority G.S. 1438- 147.

.0805 CROSS-REFERENCE TO EMERGENCY
INFORMATION

Each component shall maintain emerg e ncy
information fof each client which includes foe
name, address a»d telephone number &f foe
person to fee contacted fo ease ef sudd e n illness
e>f accident aftd foe name, address a**d telo
phone number ef foe cli e nt's preferred physi
cian.

(a) Fach component shall comply with the
provisions of ]0 NCAC 14K .0336.

(b) For purposes of the Rules of this Section,
the term "facility" in 10 NCAC 14K .0336
shall be interpreted to mean ''component".

Statutory Authority G.S. 143B-147.

.0806 CROSS-REFERENCE TO EMERGENCY
CARE PERMISSION

Upon foe client's; admission, each component
shall secure a signed statement from foe f>aF-
eftts ef a minor client (with foe e xception ef
minors socking treatment without parental
consent), &f foe guardian ef a» adult adjudi
cated incompetent granting permission to seek
e mergency eaee from a hospital e* physician.

(a) Fach component shall comply with the
provisions of 10 NCAC UK .0337.

(b) For purposes of the Rules of this Section,
the term "facility" in K) NCAC 14K .0337
shall be interpreted to mean "component".

Statutory Authority G.S. 143B-I47.

.0807 CROSS-REFERENCE TO STAFF
TRAINING FOR MEDICAL
EMERGENCIES

During hours ef op e ration ef eaefe
treatment habilitation component, at least eee
staff member shall fee available who is trained

NORTH CAROLINA REGISTER

1053

i^^an

^^■^^B^^Hi^H

PROPOSED RULES

m basic f+ft4 ch4t cardio pulmonary r e susci
latum, Beewe management a«4 the Heimlich
maneuver.

(a) I-'ach component shall comply with the
provisions of 10 NCAC 14K 1 0338.

(b) lor purposes of the Rules of this Section,
the term \ lacilitv" in U) NCAC 14K .1)338
shall be interpreted to mean "component".

Statutory Authority G.S. 143B-147.

.0808 CROSS-REFERENCE TO

RESPONSIBILITY FOR WATER
SAFETY

bach component which includes wat e r activ
rt+e* m tf* schedul e '. hall assttfe tbat a» indi

o* trained to utilize the particular t e sting in-
strument being administered.
Testing services shall be implemented ac-
cording to the provisions of HJ NCAC 14K

.0345.

viduul who h** successfully completed the
basic rescue rt«4 water safety course h* e« t+»e
premises , wh e re water safety activities occur.

(a) Fach component shall comply with the
provisions of 10 NCAC 14K .0343.

(b) lor purposes of the Rules of this Section,
the term "facility" in 10 NCAC 14K .0343

shall be interpreted to mean "component".

Statutory Authority G.S. I43B-147.

.0809 CROSS-REFERENCE TO FIRST AID
SUPPLIES

I'uch component shall have access k» fi«4 m4
supplies m each t-4" its faciliti e s.

(a) I-'ach component shall comply with the
provisions of 10 NCAC 14K .0341.

(b) lor purposes of the Rules of this Section,
the term "facility" in 10 NCAC 14K .0341
shall be interpreted to mean "component".

Statutory Authority G.S. J43B-J47.

SECTION .0900 - CLINICAL SERVICES

.0903 CROSS-REFERENCE TO SPECIALIZED
THERAPIES

Medical care, physical th e rapy, occupational
therapy, language a«4 communication therapy,

• r\ . I mil, inii .-■■■«-. t l It j t 1 1 l-->. i i\f.-ii'i lii) 1-n - i 1 r nil, 1 ■ j r

ui iu nui .'me, ccn *- TrrnrT rr r t t " i hivti i * ™ , v m li 1 1 \.i n

t4*e direct supervision t-4r individuals
liccnscd/rcgistcred te- perform these activities.

Specialized therapies shall be implemented
according to the provisions of J_0 NCAC 14K.
.0344.

Statutory Authority G.S. 143B-147.

.0904 CROSS-REFERENCE TO TESTING
SER\ ICES

Psychological, developmental, educational
rt«4 intelligence testing shall be performed by
staff t*f e valuators w+k» we licensed, c e rtified

Statutory Authority G.S. 143B-147.

SECTION .1000 - MEDICAL SERVICES

.1002 CROSS-REFERENCE TO PHYSICIAN
RESPONSIBLE/MEDICAL SERVICES

A physician shall hav e responsibility fof the
provision fff m e dical services associated wffh
m e ntal health, mental retardation a«4 suh-
stance abuse needs e£ clients.

l ; ach component providing medical services
shall comply with the provisions of U] NCAC
I4K .0339.

Statutory Authority G.S. 143B-147.

.1004 CROSS-REFERENCE TO LABORATORY
POLICIES AND PROCEDURES

44+e governing body tff e ach component
which orders , laboratory tests shall develop a
written policy which sp e cifies the procedures
k+ be follow e d »tt4 the authorization required
kw these tests. 44*e policy shall specify who
shall b e ar the financial responsibility f+»f these
laboratory procedures.

(a) The governing body of each component
which orders laboratory tests shall comply
with the provisions of K) NCAC 14K .0346.

(b) I or purposes of the Rules of this Section,
the term "facility" in _U) NCAC 14K .0346
shall be interpreted to mean "component".

Statutory Authority G.S. I43B-147.

.1005 CROSS-REFERENCE TO LABORATORY
ACCREDITATION

l'dch component which ord e rs laboratory
tests shall assure that such services afe pe^
formed by a laboratory accredited by at l e ast
i-we recognized accredit ing agency such a* the
Joint Commission €►» Accr e ditation ef llospi
tahr the 4— &r Department tff I lealth aftd- J+h-
man Servic e s, National Institut e tff Mental
I lealth, *h4 the College tff American I'atholo
S* !, t s ■

The governing body of each component
which orders laboratory' tests shall comply
with Uie piovisions of U) NCAC 14K .0347.

Statutory Authority G.S. 143B-147.

.1006 CROSS-REFERENCE TO

DOCUMENTATION OF LABORATORY

1054

NORTH CAROLINA REGISTER

PROPOSED RULES

TESTS

bach component -. hull document m the client
record the following information regarding
each laboratory te*t administered:
(-14 nam e aftd- date ef any- laboratory tost(s)

order e d;
(-24 name ef physician ord e ring testt
(4-) date aftd- time specimen obtained; aftd-
(-4-)- original copy ef the report ef laboratory
test results.

(a) The governing body of each component
which orders laboratory' tests shall comply
with the provisions of 10 NCAC 14K .0348.

(b) For purposes of the Rules of this Section.
the term -facility" in ]0 NCAC 14K .0348
shall be interpreted to mean "component".

Statutory Authority G.S. 143B-147.

SECTION .1100 - MEDICATION SERVICES

.1102 CROSS-REFERENCE TO PRESCRIBING
OF MEDICATION

fa4 Only a physician ef person authorized
by- state taw- shall be permitted te proscribe le-
gend drugs.

(4*4 A ph> sician ef person authorized te
pr e scribe legend drugs shall approve the ese ef
over the counter (nun prescription) medica
tieft f-ef clients » inpatient psychiatric services
aftd- fof minors a»d incomp e t e nt adults h* f»s-
identia] senices. A parent ef guardian shall
approve the «$e ef over the counter (non
prescription) medication h* aH other services.
A physician ef person authorized te prescribe
legend drugs shall approve the **se ef over
the counter (non prescription) medication fef
minors seeking treatment without parental
cons e nt.

fe4 A physician assistant shall net prescribe
psychotropic medication unless authorized by
the N.C. Board ef Medical bxaminors.

fd4 A nurse practitioner shall net prescrib e
psychotropic medication unless authorized by
the N.C. Board ef Medical lixaminors aftd- the
Board ef Nursing.

fe4 Bach medication prescribed by the med
ieal s e rvices ef the component shall be docu
mented » the client's record aftd signed by- the
proscriher.

(44 44*e client s drug therapy regimen pfe-
scribed by the medical service ef the compo
nent shall be assessed by a physician fef
appropriateness at- least e very 4* months.

(a) Individuals prescribing medication shall
comply with the provisions of K) NCAC? 14K.
.034').

(b) For purposes of the Rules of this Section.
the term "facilities" in 10 NCAC 14K .0349
shall be interpreted to mean "senices".

Statutory Authority G.S. 143B-147.

.1 103 CROSS-REFERENCE TO DISPENSING
OF MEDICATION

fa} M e dication shall be dispensed by a
pharmacist ef physician m a properly labeled
container » accordance with- state aft4 federal
k*Wr 1 lowovor, methadon e fef take homo
purposes may be supplied te a bonafide client
ef a methadone treatment program by a regis

t n-.ii t; i i r. ..A . i T-n '' l 1 l A 1 l t l 1 111, t ll I ^ lAf'J \ i "" ' ' T " 1 " 1 *"■ ' ' r •■ ' ' » T ~* *

te the roqurroments ef 44 NCAC 4eG .0306;
Supplying ef Methadone h* Treatment Pro
grams By- R N .

fb4 44*e medication container shall protect
medication from light aftd- moisture aftd shall
be » compliance with the Poison Prevention
Packaging Aetr

fe4 44te medication container label shall tft-
clude the following:

(4} client s name;

(-34 date issued ef refilled;

(44 directions fef administration;

(-44 medication name aftd strength;

(4-) name, address a«4 telephono number
ef dispensing sitet

(-64 prescribor s name;

f?4 dispenser's name; aft4

f&4 ancillary cautionary labeling.
Individuals prescribing medication shall com-
ply with the provisions of K) NCAC 14K
.0350.

Statutory Authority G.S.
90-68; 90-85.2; I43B-147.

90-18.1; 90-18.2;

.1104 CROSS-REFERENCE TO

ADMINISTRATION OF MEDICATION

fa-)- Prescription medication shall be admin
istered » inpatient, residential aft4 outpatient
programs only e«- the written ef verbal ord e r
ef aft- authorized proscribes

fb4 Over the counter (non pr e scription)
medication shall be administ e red m- inpatient
psychiatric sendees asd- te minors aft4 incom
potent adults ift residential senices only eft the
written approval ef a physician ef person ae-
thori/od te prescrib e legend drugs.

fe4 Ov e r the counter (non proscription)

medication shall be administered te minors ef
incompetent adults is- aH oth e r senices efdy
e» the writton approval ef a parent ef guard
k*ftr Over the counter (non proscription)

medication shall be administered te a minor

NORTH CAROLINA REGISTER

1055

PROPOSED RULES

seeking treatment without parental consent
onh . t+«- foe written iipproviil fo a physician.

fti4 Only propL ' rly &spe»sed m e dication shall
be- administered.

fe4 Medication ' . . hall be administered in- in-
patient psychiatric services only by a physician,
pin sician asststasd &f nurse, to other service
fomponunl ' i, medication may be administered
by-r e* sell administration '. upon 4sed by-r pro
gram ^+rtft who ha' . e' rec e ived instruction ahout
each medication, dosage, tim e e4 adminis
tration. M4e a£fcets e«4 contraindications from
either foe program's physician, t+f designee, ef
foe client s parent Hf guardian.

(44 A 1*4- fo person ' ' , approved ft* administer
medication shall be maintained by foe com
pon e nt.

(g4 A physician sbaH approve foe s e ll ad
ministration fo prescription <m4 over the
count e r Inon prescription) medication by
cli e nts h+ inpatient programs t*f minors **f to-
competent adults h* residential programs. A
minor t*f foe parent h* guardian fo a minor t*f
incompetent client shall obtain physician con
*e«4 fof foe sell administration &f prescription
e* over the counter (non prescription) medi
cation m outpatient, day- treatment t*f day- ae-
tivity program '. . 444e competent adult client
may sell" administer pr e scription ©f over the
count e r (Hon prescription) m e dication t» awt-
patient. day- treatment, day- activity t*f
residential programs. Where applicable, clients
should receive training m- foe self admimstra
tton fo medication.

(4%+ 444e administration fo m e dication by sfaff
shall be documented h* foe client record e» a
program maintained individualized medication
administration record. 44** r e cord shall con
toft* a record o4 doses administered.

(4} Medication administration enors a«4 ad-
verse dfwe. reactions shall be recorded m foe
client record a«4 reported to foe prescribing
physician.

(a) Medication shall be administered ac-
cording to the provisions of ]_•_> NCAC 14K
.0351.

(h) tor purposes of the Rules of this Section,
the term ••facilities" in W NCAC 14K .0351
shall be interpreted to mean "programs"

Statutory Authority G.S. 90-21.5: 90-171.20
i r K (8); 90-177.44; 1433- 147.

.1 105 CROSS-REFERENCE TO STORAGE
OF MEDICATION

AW m e dication shall be stored as follows:

(-+4 Medication shall be stored under proper
conditions ef sanitation, t e mperature,
light, moisture and ventilation.

(-54 Medication shall be stored » a securely
locked cabinet except that- (44s shall h©4-
apply to services provided » private
homes.

(-fo Only those persons authorized to pfe-
senbe ©f administ e r medication shall have
access to stor e d m e dication.

(4-) Medication fof e xternal use shall be s©§-
regated from medication fof internal «ser

(5) Medication stored » a refrigerator used
fof oth e r purposes skaH be kef4 m a sep-
araie, securely locked compartment.

ffo Space fof m e dication storage 4*44 be fo
sufficient swe to allow separate storage ©£
e ach client's m e dication and to prevent
overcrowding-
All medication shall be stored according to
the provisions of 10 NCAC 14K .0352.

Statutory Authority G.S. I43B-147.

.1 106 CROSS-REFERENCE TO DISPOSAL
OF MEDICATION

Medications shall be disposed fo fo foe fe4-
lowing mann e r:
(44 Controlled Substances. Any program
desiring ©f required to dispose ©£ a eon
trolled substance shall request authority
a«4 instructions to dispos e ©f such sub
stance from foe division.
(4+ Prescription Medication,
fo4 rVny program wishing to dispose ©f
prescription m e dication shall tto *© fo a
manner foat- guards against diversion
affo accidental ingestion. Acc e ptabl e
methods ©f disposal include foe follow

f+4 transfer ©£ medication to a local
pharmacy ©f regional psycliiatno hos
pital pharmacy fof destruction:

ffo incineration: and

(444 flush down foe commode.
(4© A record ©£ medication disposal shall
fo» maintained. 444e record shall fo-
clud e foe following:

(+4 cli e nt s nam e fo applicable):

fo4 name *r4 strength fo medication:

(fo+ quantity to be disposed:

for4 method fo disposal:

(-H dato fo disposal:

ffo-f signature fo employee disposing e4
foe medication: a«4

(-v+H signature fo e mplov ee witnessing foe
disposal.

1056

SORTH CAROLINA REGISTER

PROPOSED RULES

(a) Medication shall be disposed of according
to the provisions of 10 NCAC 14K .0353.

(b) For purposes of the Rules of this Section,
the term -facility" in 10 NCAC UK. .0353
shall be interpreted to mean "program".

Authority G.S. 143B-I47; 21 C.F.R. 1307.21.

.1107 CROSS-REFERENCE TO MEDICATION
EDUCATION

fa) Each client to be started ©f maintained
&& medication prescribed by staff ©f foe a*ea
program ef 4s contract agencies shall receive
individual en= group education regarding pre-
scrib e d medication.
fb} 44>e physician b* hb- designee shall assess
e ach cli e nt's ability to- s e ll' administer modica
tto» as web as other factors foat- may affect
4R±g therapy, to instances where to** ability
e4 4*e cli e nt to understand toe medication ed-
ucation *s questionable, a responsible person
shall be provided with foe opportunity to f=e-
ceive both written a«4 e+al instructionG ©» be-
hatf ei toe client.

fe) 4be presenbing physician e* other person
approv e d by toe physician shall provide toe
following written atto &ea& information to toe
client »f responsible person at- a time deemed
appropriate by toe physician:

f+) toe name, appearance a«4 dosage regi
men. intended use a»4 common t*4e
effects ef toe medication;
f4) adverse r e actions e* uncomfortable si4e
effects toat- should prompt calling a
physician;
f4) food, drugs ef beverages toat- should be

avoided taken with medication;
f4) a» alternative dosage regimen if a dose

is miss e d;
(-^ toe expected length fo toe medication
treatment;
refill instructions;
toe proper place to store medication;

toe need to communicate a«4 coordi
«ato with other physicians fo toe client
thos e medications prescribed by the
program.
(4) 4be m e dication e ducation assessment
a»4 information provided shall be individual
wed- top each client a«4 documented » toe eb-
eto record.

fto M e dication e ducation shall be coordi
nated with the discharging »f receiving pro
gram.

Programs providing medication for clients
shall provide medication education according
to the provisions of 10 NCAC 14K .0354.

&
&

Statutory Authority G.S. 143B-I47.

SECTION .1200 - NUTRITION/DIETARY
PRACTICES

.1202 CONSULTATION FOR NUTRITION
SERVICES (REPEALED)

Statutory Authority G.S. J30A-361; 143B-147.

.1203 CROSS-REFERENCE TO FOOD
SERVICE MENUS

fa) Fach program component serving meals
fof clients shall:

(4) comply with toe Recommended Dietary
Allowance &f toe Food a«4 Nutrition
Board ef toe National Academy »£ Sei-
e nces 9fo fevr efo 1980 available at- a
eest- ef sis dollars ($6.00) f*e*» toe Of-
fice fo Publications, National Academy
Press, 2101 Constitution Avenue N.W.,
Washington, OrG, 20 - 118; ar>4
f4) provide food » keeping with general
cultural, ethnic a«4 life stylo patterns
el foe clients s e rved.
Menus shall be evaluated afit4 approved
qualified nutritionist ef registered dieti

by a

fe) Fach program component which servos
more than e«e m e al daily shall keep menus as

I . | t-i i 1 , 3 »~l lil.i Inf r~\ t-1 n i | -t 'I I"
DC 1 T^TCT rTTT 1 1 H- rTTT OTTV ! L-U.1 .

(a) Fach program component serving meals
for clients shall comply with the provisions of
10 NCAC 14K .0356.

(b) For purposes of the Rules of this Section,
the term -facility" in 10 NCAC 14K .0356
shall be interpreted to mean 'program com-
ponent".

Statutory Authority G.S. 130A-361; 143B-I47.

.1204 CROSS-REFERENCE TO MODIFIED
DIETS

Fach program component oorving meals fof
clients shall provide modified diets » accord
ance with a physician's prescription a«4 with
a menu pattern approved by a registered di e ti

(a) Fach program component serving meals
for clients shall comply with the provisions of
10 NCAC 14K .0357.

(b) For purposes of the Rules of this Section,
the term -facility" in K) NCAC 14K .0357
shall be interpreted to mean "program com-
ponent".

Statutory Authority G.S. 130A-361; 143B-I4 n .

NORTH CAROLINA REGISTER

1057

PROPOSED RULES

in 10 NCAC 14K .0358
to mean "program com-

.1205 CROSS-REFERENCE TO STAFFING
FOR FOOD SERVICE

bach program component which serves more
than ewe meal daily shall designate the staff
responsible fof procurement, preparation a«4
sefvktg to meal ;. afto fof At? maintenance to
equipment affo sanitary work spac e .

(a) Fach program component serving more
than one meal daily shall comply with the
provisions of U) NCAC 14K .035S.

(b) lor purposes of the Rules of this Section,
the term "facility"
shall be interpreted
ponent".

Statutory Authority G.S. 143B-147.

.1206 CROSS-REFERENCE TO FOOD

SERVICE EQUIPMENT AND SPACE

bach program component which sefves more
than e«e meal daily shaft
(-H provide * equipment affo spaee to store

food separately from other items;
(3) provid e e quipment affo spaee te prepare

affo serve m e als including aff modifi e d d+et

menu it em s; affo
fo+ designat e ar e as fof dining which shall be

equipped affo arranged to meet the needs

to the population served.

(a) Fach program component serving more
than one meal dailv shall comply with the
provisions of 10 NCAC 14K .0359.

(b) For purposes of the Rules of this Section,
the term -facility" in 10 NCAC 14K .0359
shall be interpreted to mean "program com-
ponent".

Statutory Authority G.S. 143B-147.

SECTION .1300 - TRANSPORTATION
SERVICES

.1302 CROSS-REFERENCE TO

TRANSPORTATION POLICY

-Fbe governing body e( each compon e nt pfe-

viding transportation fof clients shall develop

affo implement » written transportation policy

which shall address at least the following:

{-h e ligibility fo clients top transportation

s e rvic e s;
fo+ the means by- which toe program shall

provide transportation;
ffo proc e dure ', to be employed h* emergency
situations occurring during the transpor
tat ion to clients;
(-4+ qualifications affo training to vehicle tfo-
affo aid e*. ; affo

(a) The governing body of each component
providing transportation for client shall com-
ply with the provisions of J_0 NCAC 14K

0361.

(b) For purposes of the Rules of this Section,
the term "facility" in 10 NCAC 14K .0361
shall be interpreted to mean "component".

Statutory Authority G.S. 143B-I47.

.1303 CROSS-REFERENCE TO LICENSED
DRIVER

Fach driver to toe t ransportation service shall
hold a current license issued by- toe N.C. fte-
purtment to Motor Vehicles to operate toe
typ e to vehicle(s) to which he is assigned.

Fach driver in the transportation service shall
comply with the provisions of
.0362.

)f 10 NCAC 14K

(-to tees, ff »¥: tof transportation.

Statutory Authority G.S. I43B-I47.

.1304 CROSS-REFERENCE TO SAFETY
PRECAUTIONS

(a) A seat- affo a seat belt shall be provided
tof each individual being transported to a ve-
hicle except that the provision to" seat belts
shall ftto be r e quir e d fof individuals being
transported n+ a to*s fof which the manufac
turing code does Hto recommend the installu

fto: When physically handicapp e d individuals

' I T - . | 1 X' 1 1 \ - 1 "h d M ' T I I I 1 t M I ^ \ I \ I \ ' I \ I \ ill [ J *^t I' i ^ 1 I 1 . 1 i 1 t^^^^^^J^^

CTTt nuil.'l '1'1 I '^^^^ i^^^T ^^^^^^^^^^C^ ^^T^^^T ^^TT^^^^^^^^ ^^^^^^^^^C

storage fof adaptive equipment.

Fach component providing transportation
services for clients shall comply yvith the pro-
visions of 10 NCAC 14K .0363.

Statutory Authority G.S. 143B-I47.

.1305 CROSS-REFERENCE TO

TRANSPORTATION OF MINORS

(a) Fach child tw-e- years to 7 age affo und e r
shall be transported to a child passenger fe-
stroint device which shall be to a typ e affo to-
stalled to a manner approved by the N'.C.
Commissioner to Motor Vehiclec i .

fb) When foef e* mor e preschool children
*fe transported to the same vehicle by a com
ponent other than developmental day centers
fof preschool children who afe mentally fe-
tard e d ef before aft e r school affo summer de-
velopmental day cent e rs fof children who afe
mentally retard e d, at least tw-e- adults shall be
pres e nt m the '■'chicle.

(fo Wh e n twe ef more children afe trans
port e d f» the sam e vehicle by developmental
day centers , fof preschool children who afe
mentally retarded. t*f before after school affo

1058

NORTH CAROLINA REGISTER

PROPOSED RULES

i i ummur developmental day centers fof chil
dren who aw mentally retarded, there f . hall be
e«e adult, other than the driv e r, te assist i»
supervision ef the children.

Each component providing transportation
services for clients shall comply with the pro-
visions of 10 NCAC 14K .0364.

Statutory Authority G.S. 143B-147.

SECTION .1400 - RESEARCH PRACTICES

.1402 CROSS-REFERENCE TO RESEARCH
REVIEW BOARD

fa4 Each research activity ef each component
which involves afee program clients » research
activities shall be reviewed *h4 approved by a
r e s e arch review board prior te- the initiation e£
the research project.

fb} Each proposed research project shall be
presented te- a research review board a* a writ
te» protocol containing the following infor
mation:

f2} abstract, containing a short description
ef the project;

(44

i tatement e£ objectives aft4 rationale;

description ef methodology, including
informed consent if- necessary.
(e) Prior te the initiation e£ each research
project » a» are* program et it* contract
ag e ncies, a r e search r e vi e w board shall conduct
an- initial review ef the project; shall stat e the
fr e qu e ncy with which it w4ii review the proj e ct

'tit CMS l 1 1 ■ ■ i I |^^^^^^^ ^^^^^^^^^^^^1* ^^^^^i ^T^^^^l I^^^^L^4 ^> 1^^^_
UHL1 rT 1 IU.I rTTTT nHuuvvu j UI1U D 1 1 Ul I 1 IV. ' IU CT 1 kJ

view prior te a»y major changes being made
i» r e s e arch procedur e s.

fd4, Written minutes ef each research board's
meeting shall be maintained a»4 contain doc
umentation that risks te subj e cts were minunal
aft4 r e asonable fef the benefits te be accrued;
tbat unnecessary intrusion e» subj e cts was
eliminated; that informed consent was appro
priatoly provided fof^ a»e that confidentiality
ef subjects was protected.

(a) Each component which involves area
program clients in research activities shall
comply with the provisions of 10 NCAC 14K
.0333.

(b) For purposes of the Rules of this Section,
the term -facility" in 10 NCAC 14K ,0333
shall be interpreted to mean "component".

Statutory Authority G.S. C-52; 143B-147.

.1403 CROSS-REFERENCE TO SUBJECT
PARTICIPATION

Informed writt e n consent shall be obtained
from each subject i» a r e search proj e ct, ef
from the legal guardian if a subject is incapable
ef providing informed written consent as fob-

f44 subjects shall be informed el arty poten
tiaf dangors e* risks tbat m&f e*ist as a
result el participation;

f?} subjects shall be informed as te what
their participation w+if entail as related te
time a»4 effort, future folio w up, contacts
witb other people about them, a»4 alter
ations el regular procedures;

fe4 docum e ntation shall be made tbat the
participants have been informed el a»y
pot e ntial dangers that tftay exist a&<& that

understand the conditions el partic
ipation;
(4) each individual participating i» a research
projoct shall have the right te terminato
participation at asy- tim e without pr e ju
dicing the tr e atm e nt he is receiving ef bis
employment i» the ag e ncy; a»4
(-£►} a copy el the dated, signed consent form
shall be kept e» file by the program staff.
Each component which involves area pro-
uam clients m research activities shall comply
with the provisions of 10 NCAC 14K .0334.

Statutory Authority G.S. C-52; 143B-147.
SUBCHAPTER 18M - REQUIRED SERVICES

SECTION .0500 - PROVISION OF INPATIENT

PSYCHIATRIC SERVICES FOR CHILDREN:

ADOLESCENT: ADL'LT AND ELDERLY

INDIVIDUALS WHO ARE ACUTELY

MENTALLY ILL

.0506 PROVISION OF SERVICES

(a) Each area program shall provide inpatient
psychiatric services by one or more of the fol-
lowing:

(1) a psychiatric inpatient facility operated
by the area program and licensed ac-
cording to the provisions of 10 NCAC
4£f> Section Mm (Area Operated Psy-
chiatric Hospitals fof Children, Adoles
cent, Adult ae4 Elderlv Individuals
Whe ate Mentally J% 14L .0100 (In-

patient Psychiatric Services for Individ-
uals Who Are Mentally 111);

Statutory Authority G.S. 143B-147.

SECTION .0600 - PROVISION OF

PSYCHOSOCIAL REHABILITATION

PROGRAMS FOR INDIVIDUALS WHO ARE

NORTH CAROLINA REGISTER

1059

PROPOSED RULES

CHRONICALLY MENTALLY ILL OR

PROVISION OF PARTIAL

HOSPITALIZATION SERVICES FOR

INDIVIDUALS WHO ARE ACUTELY

MENTALLY ILL

.0607 INTRODUCTION

(a) A community t . upport ggvchosocial re-
habilitation program is a day program which
is designed to provide a network of services
primarily for chronically mentally ill. adult -.
c+h4 elderls individual; . . The network is or-
ganized around and delivered through mem-
bership in a peer support group. The goal of
the program is to help members to meet their
needs and develop their abilities tor independ-
ent community living.

Statutory Authority G.S. 143B-147.

.0608 PROVISION OF SERVICES

Each area program shall provide at least:
( 1 ) a community support psychosocial reha-
bilitation program primarily for chron-
ically mentally ill adult a«4 elderly
individuals licensed according to the pro
vision provisions of 10 NC AC +8P S<»£-
tion -i > 50U ( Community Support
Programs fep Adult a«4 Fld e ily Individ
»ak Who A** Chronically Mentally ffl-H-
141 .0400 (Psychosocial Rehabilitation

Programs for Individual

Who Are
Chronically Mentally 111 i : or
(2) a partial hospitalization program for
acutely mentally ill adult a«4 elderly indi-
viduals licensed according to the pro-
visions of 10 NCAC 4££ Section 444W
I Partial Hospitalization Senices fef Adult
m*4 I Iderlv Individuals Who Af» Acutely
M e ntally h± 141. .0300 (Partial Hospi'-
tali/ation for Individuals Who Are
Acutely Mentally 111).

Statutory Authority G.S. I43B-I47.

SECTION .0700 - DEVELOPMENTAL DAY

SERVICES FOR PRESCHOOL CHILDREN

WITH DEVELOPMENTAL DISABILITIES OR

DELAYS OR AT HIGH RISK FOR MENTAL

RETARDATION: DEVELOPMENTAL

DISABILITIES OR DELAYS

.0701 INTRODUCTION

A developmental day center service is a
day night service which provides individual
habilitative programming for pre-school chil-
dren v4» a» mentally retarded with develop-
mental disabilities or delays or at high nsk for
mental retardation, developmental disabilities
or delavs in specialized licensed child care cen-

ters. It is designed to meet developmental
needs of the children such as self-help, fine and
gross motor, language and communication,
and cognitive and social skills in order to fa-
cilitate their functioning in a less restrictive
environment as well as to meet child care needs
of families. It also offers family training and
support.

Statutory Authority G.S. 143B-147.

.0702 POPULATION SERVED (REPEALED)

Statutory Authority G.S. I22C-51; 143B-147.

.0704 STAFF REQUIREMENTS

fQ Assessment of the child to determine de-
velopmental delay, developmental disability.
atypical development or high nsk for these
conditions shall be performed by an appropri-
ately credcntialed prolessional whose training
qualities him her to assess children in the de-
velopmental area of concern. Standardized
tests, rating scales, developmental profiles and
other instruments and procedures that meet
acceptable proposed standards shall be used to
document the nature and severity of the prob-
lems necessitating intervention.

Statutory Authority G.S. I43B-147.

SECTION .0800 - ADULT DEVELOPMENTAL

ACTIVITY PROGRAMS (ADAP) FOR

INDIVIDUALS WITH SUBSTANTIAL

MENTAL RETARDATION: SEVERE

PHYSICAL DISABILITIES OR OTHER

SUBSTANTIAL DEVELOPMENTAL

DISABILITIES

.0801 INTRODUCTION

(a) An adult developmental activity program
(ADAP) is a day night service which provides
organized developmental activities for adults
with substantial mental retardation, -.e'. ere
physical disabilities or other substantial devel-
opmental disabilities mentally retarded and or
physically disabled adults to prepare the indi-
vidual to live and work as independently as
possible. The activities and services of an
ADAP are designed to adhere to the principles
of normalization and community integration
aimed at increasing age-appropriate actions,
images, and appearance of the individual.

Statutory Authority G.S. I43B-I47.

.0802 COMPLIANCE REVIEW

(a) An ADAP that is accredited by the
Commission on Accreditation of Rehabili-

1060

.XORTH CAROLIXA REGISTER

PROPOSED RULES

tation Facilities (CARF) in the Activity Ser-
vice track or an ADAP which also
incorporates work activity training in its pro-
gram and which is accredited by CARF in the
Activity Service and Work Adjustment or
Work Service tracks shall be reviewed for
compliance with 10 NCAC 18K (Contract
Agency Management Standards) and 10
NCAC 18L (Program Component Opera-
tional Standards) and with the provisions of
this Section as follows:

(1) Each ADAP which is operated by the
area program shall comply with all of
the standards delineated in 10 NCAC
18L; and each ADAP which is under
contract with an area program shall
comply with the standards delineated in
10 NCAC 18K and 10 NCAC 18L; and

(2) Eaeb ADAP, whether operated by the

atea program ©f under contract with a»
area program, shall be r e vi e wed fop
compliance with the provisions ef this
Section i» accordance with e«e el the
following te be determined at the die-
cretion el the funding agency: Each
ADAP, whether operated by the area
program or under contract with an area
program, shall be reviewed for compli-
ance with the following Rules in this
Section: .0803. .0817, .0822 and .0823.
(A) bach ADAP &haH be r e viewed fop
compliance with the followinu stand
awls m this Section: M^ 4&04r M$$t

sm* rOm^ Mm? mm (&, jm^

jm± ,os 16(b), m^ M&i 4m±

fB) fiaeh ADAP shall be r e vi e wed fof
compliance with ah- the standards con
tained i» this Section.
(b) U an- ADAP is reviewed fof compliance
only with standards sp e cifi e d » faf (4-j aft4 (a)
(-£) (A) an4 (■&} el this Standard, the The
ADAP shall submit to the funding agency a
copy of its most recent CARF Facilities Sur-
vey Report, and, if applicable, the Plan of
Compliance and subsequent notice of CARF s
acceptance of the correction(s) made in ac-
cordance with the plan.

Statutory Authority G.S. 143B-147.

.0X03 POPULATION SERVED

Each ADAP shall be designed primarily to
serve substantially mentally retarded a«4 se-
verely physically disabled individuals who are
16 years of age or older.

Statutoiy Authority G.S. 1 43 B- 1 47.

.0804 HOURS OF OPERATION (REPEALED)
.0805 DIRECTOR/COORDINATOR (REPEALED)
.0806 CLIENT/STAFF RATIO (REPEALED)
.0807 CLIENT EVALUATOR (REPEALED)
.0808 BUSINESS PRACTICES (REPEALED)
.0809 PROVISION FOR CLASSROOM SPACE

(REPEALED)
.0810 FACILITIES (REPEALED)
.081 1 SAFETY EDUCATIONAL PROGRAM

(REPEALED)
.0812 ACCIDENT REPORTING (REPEALED)
.0813 SAFETY COMMITTEE (REPEALED)
.0814 PROMOTION OF CLIENTS' RIGHTS

(REPEALED)
.0815 USE OF PUBLIC TRANSPORTATION

BY CLIENTS (REPEALED)
.0816 ACTIVITIES AND SERVICES

(REPEALED)

Statutory Authority G.S. 143B-147.

.0819 SUSPENSIONS AND DISMISSALS

(REPEALED)
.0820 CLIENT EVALUATION REPORT

(REPEALED)
.0821 INDIVIDUAL PROGRAM PLAN AND

GOAL PLAN (REPEALED)

Statutory Authority G.S. 143B-147.

SECTION .1200 - PROVISION OF SOCIAL

SETTING: NONHOSPITAL MEDICAL OR

OUTPATIENT DETOXIFICATION SERVICES

FOR INDIVIDUALS WHO ARE ALCOHOLICS

.1201 INTRODUCTION (REPEALED)
.1202 PROVISION OF SERVICES
(REPEALED)

Statutory Authority G.S. 143B-147.

SUBCHAPTER ISO - OPTIONAL SERVICES

FOR INDIVIDUALS WHO ARE SUBSTANCE

ABUSERS

SECTION .0100 - SOCIAL SETTING:

NONHOSPITAL MEDICAL AND

OUTPATIENT DETOXIFICATION SERVICES

FOR INDIVIDUALS WHO ARE ALCOHOLICS

.0104 INTRODUCTION (REPEALED)
.0105 POPULATION SERVED (REPEALED)
.0106 STAFF REQUIRED: GENERAL

(REPEALED)
.0107 TRAINING OF STAFF (REPEALED)
.0108 EMERGENCY MEDICAL SERVICES

(REPEALED)
.0109 PREADMISSION SCREENING

(REPEALED)
.01 10 CONSENT FOR TREATMENT

(REPEALED)
.01 1 1 REFERRAL TO TREATMENT AND

REHABILITATION PROGRAM

NORTH CAROLINA REGISTER

1061

PROPOSED RULES

(REPEALED)

.01 12 SOCIAL SETTING: HOIKS OF

OPERATION (REPEALED)
.0113 SOCIAL SETTING: STAFF REQUIRED

(REPEALED)
.0114 SOCIAL SETTING: POSTING OF RULES

(REPEALED)
.0115 SOCIAL SETTING: MONITORING OF

CLIENTS (REPEALED)
.0116 NONHOSPITAL MEDICAL: HOURS OF

OPERATION (REPEALED)
.0117 NONHOSPITAL MEDICAL: STAFF

REQL IRED (REPEALED)
.0118 NONHOSPITAL MEDICAL: POSTING OF

Rl LES (REPEALED)
.0119 NONHOSPITAL MEDICAL: PHYSICAL

EXAMINATIONS (REPEALED)
.0120 NONHOSPITAL MEDICAL:

MONITORING OF CLIENTS (REPEALED)
.0121 Ol TPATIENT: IIOLRS OF OPERATION

(REPEALED)
.0122 OUTPATIENT: STAFF REQUIRED

(REPEALED)
.0123 OUTPATIENT: PHYSICAL

EXAMINATIONS (REPEALED)

Statutory Authority G.S. 143B-147.

SECTION .0200 - HALFWAY HOUSES FOR
INDIVIDUALS WHO ARE ALCOHOLICS

.0218 INTRODUCTION (REPEALED)
.0219 POPULATION SERVED (REPEALED)
.0220 HOURS OF OPERATION (REPEALED)
.0221 STAFF REQUIRED (REPEALED)
.0222 TRAINING OF STAFF (REPEALED)
.0223 SCREENING FOR COMMUNICABLE

DISEASES (REPEALED)
.0224 POSTING OF HOUSE RULES

(REPEALED)
.0225 SCHEDULE OF ACTIVITIES

(REPEALED)
.0226 SUPPORTIVE SERVICES (REPEALED)
.0227 EMERGENCY MEDICAL SERVICES

(REPEALED)

Statutory Authority G.S. 143B-I47.

SECTION .0300 - RESIDENTIAL TREATMENT

/REHABILITATION PROGRAMS FOR

INDIVIDUALS WHO ARE ALCOHOL OR

OTHER DRUG ABUSERS

INTRODUCTION (REPEALED)
POPULATION SERYED (REPEALED)
HOI RS OF OPERATION (REPEALED)
STAFF REQL IRED (REPEALED)
TRAINING OF STAFF (REPEALED)
SCREENING FOR COMMUNICABLE
DISEASES (REPEALED)
PHYSICAL EXAMINATIONS/
LABORATORY TESTING (REPEALED)
EMERGENCY MEDICAL SERYICES
(REPEALED)

0311

0312

0313

0314

0315

0316

0317

0318

.0319 POSTING OF HOUSE RULES

(REPEALED)
.0320 SCHEDULE OF ACTIVITIES

(REPEALED)
.0321 TREATMENT/REHABILITATION

SERVICES (REPEALED)

Statutory Authority G.S. I43B-147.

SECTION .0400 - METHADONE

TREATMENT

SERVICES FOR INDIVIDUALS WHO ARE

NARCOTICS ABUSERS

.0405 INTRODUCTION (REPEALED)
.0406 COMPLIANCE WITH FDA/NIDA

REGULATIONS (REPEALED)
.0407 COMPLIANCE WITH FDEA

REGULATIONS (REPEALED)
.0408 COMPLIANCE WITH NORTH CAROLINA

CSA REGULATIONS (REPEALED)
.0409 HOURS OF OPERATION (REPEALED)
.0410 TAKE-HOME SUPPLIES FOR HOLIDAYS

(REPEALED)
.041 1 STAFF REQUIRED (REPEALED)
.0412 TRAINING OF STAFF (REPEALED)
.0413 WITHDRAWAL FROM METHADONE

(REPEALED)
.0414 TREATMENT/REHABILITATION

SERVICES (REPEALED)
.0415 CLIENT DISCHARGE RESTRICTIONS

(REPEALED)

Statutory Authority G.S. 143B-147.

SECTION .0600 - DEVELOPMENTAL DAY

CARE CENTERS FOR MENTALLY
RETARDED CHILDREN: HABILITATION

.0638 INTRODUCTION (REPEALED)
.0639 POPULATION SERVED (REPEALED)
.0640 HOURS OF OPERATION (REPEALED)
.0641 STAFFING REQUIREMENTS

(REPEALED)
.0642 STAFF TRAINING (REPEALED)
.0643 CONSENT FOR TREATMENT

(REPEALED)
.0644 PROGRAM PLAN DESCRIPTION

(REPEALED)
.0645 EMERGENCY SERVICES (REPEALED)
.0646 MEDICAL AND PSYCHIATRIC CARE

AND SERVICES (REPEALED)
.0647 ASSESSMENT (REPEALED)
.0648 COMPREHENSIVE INDIVIDUAL

TREATMENT PLAN (REPEALED)
.0649 AFTERCARE SERVICES (REPEALED)
.0650 INVOLUNTARY COMMITMENTS

(REPEALED)
.0651 SECLUSION OR MECHANICAL

RESTRAINTS (REPEALED)

Statutory' Authority G.S. I22C-60; 143B-147.

1062

NORTH CAROLINA REGISTER

PROPOSED RULES

SI BC1IAPTER 181' - OPTIONAL SERVICES

FOR INDIVIDUAUS WHO ARE MENTALLY

ILL OR EMOTIONALLY DISTURBED

SECTION .0100 - DAY TREATMENT

PROGRAMS FOR CHILDREN AND

ADOLESCENTS WHO ARE EMOTIONALLY

DISTURBED

.0131 INTRODUCTION (REPEALED)
.0132 POPULATION SERVED (REPEALED)
.0133 STAFF REQUIRED (REPEALED)
.0134 STAFF/CLIENT RATIO (REPEALED)
.0135 GROUPING OF CHILDREN/

ADOLESCENTS (REPEALED)
.0136 TRAINING OF STAFF (REPEALED)
.0137 MEDICAL STATEMENT (REPEALED)
.0138 DIAGNOSTIC STUDY (REPEALED)
.0139 COORDINATION OF SERVICE

(REPEALED)
.0140 TREATMENT PROGRAM (REPEALED)
.0141 PSYCHIATRIC CONSULTATION

(REPEALED)
.0142 SCHEDULE OF DAILY ACTIVITIES

(REPEALED)
.0143 ROLE OF PARENTS (REPEALED)

Statutory Authority G.S. 143B-147.

SECTION .0200 - RESIDENTIAL

TREATMENT

PROGRAMS FOR CHILDREN AND

ADOLESCENTS

WHO ARE EMOTIONALLY DISTURBED

.0227 INTRODUCTION (REPEAUED)
.0228 POPULATION SERVED (REPEALED)
.0229 STAFF REQUIRED (REPEALED)
.0230 STAFF/CLIENT RATIO (REPEALED)
.0231 GROUPING OF CHILDREN/

ADOLESCENTS (REPEALED)
.0232 TRAINING OF STAFF (REPEALED)
.0233 LOCATION OF FACILITY (REPEALED)
.0234 MEDICAL STATEMENT (REPEALED)
.0235 DIAGNOSTIC STUDY (REPEAUED)
.0236 TREATMENT PROGRAM (REPEALED)
.0237 PSYCHIATRIC CONSULTATION

(REPEALED)
.0238 COORDINATION OF TREATMENT AND

EDUCATION (REPEAUED)
.0239 EDUCATIONAL PROGRAMS (REPEALED)
.0240 SUMMER PROGRAM (REPEAUED)
.0241 SCHEDULE OF DAILY ACTIVITIES

(REPEALED)
.0242 HOUSEKEEPING ACTIVITIES

(REPEALED)
.0243 CLOTHING (REPEALED)
.0244 PERSONAL HYGIENE (REPEALED)

Statutory Authority G.S. 1 43 D- 147.

SECTION .0300 - RESIDENTIAL
THERAPEUTIC CAMPS FOR CHILDREN AND

ADOLESCENTS WHO ARE EMOTIONALLY
DISTURBED

.0301 INTRODUCTION (REPEALED)
.0302 POPULATION SERVED (REPEALED)
.0303 STAFF REQUIRED (REPEALED)
.0304 STAFF/CLIENT RATIO (REPEALED)
.0305 GROUPING OF CHIUDREN (REPEALED)
.0306 TRAINING OF STAFF (REPEALED)
.0307 MEDICAL STATEMENT (REPEALED)
.0308 PRE-ADMISSION DIAGNOSTIC STUDY

AND TREATMENT PLAN (REPEALED)
.0309 TREATMENT PROGRAM (REPEALED)
.0310 PSYCHIATRIC CONSULTATION

(REPEALED)
.031 1 SCHEDULE OF DAILY ACTIVITIES

(REPEALED)
.0312 EMERGENCY MEDICAU TREATMENT

(REPEALED)
.0313 BASIC CHILD/ADOUESCENT SAFETY

(REPEALED)

Statutory Authority G.S. 143B-147.

SECTION .0400 - PARTIAL

HOSPITALIZATION

SERVICES FOR ADULT AND ELDERLY

INDIVIDUAUS WHO ARE ACUTELY

MENTALLY ILL

.0401 INTRODUCTION (REPEAUED)
.0402 POPULATION SERVED (REPEAUED)
.0403 HOURS OF OPERATION (REPEAUED)
.0404 STAFF REQUIRED (REPEAUED)
.0405 ROUE OF PHYSICIAN (REPEALED)
.0406 STAFF/PATIENT RATIO (REPEALED)
.0407 GROUP THERAPY (REPEAUED)

Statutory Authority G.S. 143B-147.

SECTION .0500 - COMMUNITY SUPPORT

PROGRAMS (CSP) FOR ADULT AND

ELDERLY INDIVIDUAUS WHO ARE

CHRONICAUUY MENTALLY ILL

.0501 INTRODUCTION (REPEALED)
.0502 POPULATION SERVED (REPEALED)
.0503 HOURS OF OPERATION (REPEAUED)
.0504 STAFF REQUIRED (REPEALED)
.0505 SKILLS DEVELOPMENT (REPEALED)
.0506 EDUCATIONAL SERVICES (REPEAUED)
.0507 PREVOCATION AL SERVICES

(REPEALED)
.0508 TRANSITIONAL EMPLOYMENT

SERVICES (REPEALED)

Statutory Authority G.S. 143B-147.

SECTION .0600 - DAY CARE FOR ADULT

AND

ELDERLY INDIVIDUALS WHO ARE

MENTALUY ILL

NORTH CAROLINA REGISTER

1063

PROPOSED RULES

.0601 INTRODUCTION (REPEALED)
.0602 POPULATION SERVED (REPEALED)
.0603 COMPLIANCE WITH ADULT DAY CARE
STANDARDS (REPEALED)

Statutory Authority G.S. I43B-147.

SECTION .0700 - TRANSITIONAL

RESIDENCE PROGRAMS FOR ADULT AND

ELDERLY INDIVIDUALS WHO ARE

MENTALLY ILL

.0701 INTRODUCTION (REPEALED)
.0702 POPULATION SERVED (REPEALED)
.0703 HOURS OF OPERATION (REPEALED)
.0704 STAFF REQUIRED (REPEALED)
.0705 RESIDENT COUNCIL (REPEALED)
.0706 PROGRAM ACTIVITIES (REPEALED)
.0707 EMPLOYMENT OPPORTUNITIES
(REPEALED)

Statutory Authority G.S. 143B-147.

SECTION .0800 - AREA OPERATED

PSYCHIATRIC HOSPITALS FOR CHILDREN:

ADOLESCENT: ADULT AND ELDERLY

INDIVIDUALS WHO ARE MENTALLY ILL

.0801 INTRODUCTION (REPEALED)
.0802 POPl I.ATION SERVED (REPEALED)
.0803 HOI RS OF OPERATION (REPEALED)
.0804 STAFF REQUIRED (REPEALED)
.0805 ADMISSION ASSESSMENTS

(REPEALED)
.0806 INDIVIDUAL TREATMENT PLAN

(REPEALED)

Statutory Authority G.S. I43B-147.

.0807 SECLUSION OR MECHANICAL
RESTRAINTS (REPEALED)

Statutory Authority G.S. 143B-147.

SECTION .0900 - CONTRACTED INPATIENT
PSYCHIATRIC SERVICES FOR CHILDREN:

ADOLESCENT: ADULT AND ELDERLY
INDIVIDUALS WHO ARE MENTALLY ILL

.0904 SECLUSION OR MECHANICAL
RESTRAINTS (REPEALED)

Statutory Authority G.S. 143B-147.

SUBCHAPTER 18Q - OPTIONAL SERVICES

FOR INDIVIDUALS WHO ARE MENTALLY

RETARDED

SECTION .0100 - EARLY CHILDHOOD

INTERVENTION SERVICES (EC IS) FOR

CHILDREN WITH MENTAL RETARDATION

OR AT HIGH RISK FOR MENTAL

RETARDATION OR OTHER

DEVELOPMENTAL DISABILITIES OR
DELAYS

.0123 INTRODUCTION

(a) An early childhood intervention service
(ECIS) is a periodic service designed to pro-
mote the developmental growth of a child who
is mentally retarded or otherwise develop-
mentally disabled or delayed or who has atyp-
ical development or at high risk for mental
retardation, developmental disabilities or de-
lavs or atypical development. In addition, it
provides families with support and information
on child rearing skills and management, and
services and resources available to the child
and family. The service provides, on a regu-
larly scheduled basis, comprehensive assess-
ment and prescriptive developmental
programming such as cognitive, speech, and
motor development in the client's home and
which may be supplemented by individual or
group services at other sites. This service
provides case- specific and general follow-up
and consultation to other preschool programs.

Statutory Authority G.S. 143B-147.

.0124 POPULATION SERVED (REPEALED)

Statutory Authority G.S. 143B-I47.

.0126 INTERDISCIPLINARY ECIS STAFF

(d) Assessment of the child to determine de-
velopmental delay, developmental disability,
atypical development or high risk for these
condition s shall be performed bv an appropri-
ately credent ialed professional whose training
qu.ililK'-. him her to q^c^ children in t_he de-
velopmental area of concern. Standardized
tests, rating scales, developmental profiles and
other instruments and procedures that meet
acceptable professional standards shall be used
to document the nature and severity of the
problems necessitating intervention.

Statutory Authority G.S. 143B-I47.

SECTION .0200 - BEFORE/AFTER SCHOOL

AND SUMMER DEVELOPMENTAL DAY

SERVICES FOR CHILDREN WITH MENTAL

RETARDATION OR OTHER

DEVELOPMENTAL DISABILITIES

.0284 CROSS-REFERENCE TO
INTRODUCTION

(**+ Before after school developmental 4&v
centers fof children who aw mentally retarded,
e? otherwis e developmentullv disabl e d, Of at
high ri*k fof mental retardation ate day services

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PROPOSED RULES

which provid e individual habilitativ e program
ming a+fo recr e ational activities fof seheei ag e d
menially retarded children. Sen ic e ?' . afe pro
vidod pr e ceding affo following foe school day
during foe months el local '. chool operation
a«4 afe designed k* m e et developmental needs
el foe children as well a* foe child eafe needs
el families. Before alter school servic e s may
be provided as a component el a develop
mental day center which serves preschool chil
dren ef may be provided a* a separate
component.

childr e n who afe m e ntally r e tard e d, ef other
wise developmentally disabled, ef at- high fisk-
fof mental retardation afe day programs which
provide individual habilitative programming
affo recreational activities m a licensed child
eafe cent e r fof school aged children during foe
summer period when they afe »e4- participating
m educational activiti e s. This program t$ de-
signed te- promote continuing progress fo ae-
quiring d e velopmental skills such as self help,
ftwe aftd gross motor, language &&£ communi
cation, cognitive awe social skills, fo order fe-
facilitate functioning fo a less restrictiv e e nvi
ronment. 4-be program is also designed te
meet child ease needs el laimlies.

Before alter school and summer develop-
mental day services shall comply with the
provisions of 10 NCAC 14M .0501.

Statutory Authority G.S. 143B-147.

.0285 POPULATION SERVED (REPEALED)

Statutory Authority G.S. 143B-147.

.0286 CROSS-REFERENCE TO IIOLRS OF
OPERATION

fa+ 1 i ach before after school developmental
day service shall be available fof a minimum
el three hours pef day ( e xclusiv e ©f transpor
tation time), foe days pef week, during foe
months el local school operation.

fbl. Fetch summ e r developmental day senice

C \-i ■ . 1 I T~» > - 1 \ - ■ i ■ 1 - . V-\ 1 .-» 4 j-v r- --j t->-i i t-1 i m i i ill QJ . n j l li t li , I 1 1 r ,
J 1 Kill I 't-' Li T li 1 1 L 1 1 1 V I l ' I CT I 1 1 I 1 ! 1 I 1 I \.l 1 1 I V ' 1 C 1 i i 1 I I1UU1 3

pef day (exclusive el transportation time), five
days pef w e ek, during foe weeks a* which local
school op e ration *s closed fof summer break.

Before after school and summer develop-
mental dav services shall comply with the
provisions of 10 NCAC 14M .0502.

Each before/after school center senice or
summer center senice shall comply with
Standards .0704 through .0714, with the ex-
ception of .0704(d) and (e), .0708(b)(2), and
.0711, of 10 NCAC 18M, Section .0700, De-
velopmental Day Centers For Preschool Chil-
dren Wbe- Afe Mentally Retarded. With
Mental Retardation Or Other Developmental
Disabilities Or Delays Or At Risk For Mental
Retardation Or Other Developmental Disabil-
ities Or Delays.

Statutory' Authority G.S. 143B-147.

SECTION .0300 - SPECIALIZED

COMMUNITY RESIDENTIAL SERVICES

FOR INDIVIDUALS WITH MENTAL

RETARDATION OR OTHER
DEVELOPMENTAL DISABILITIES

.0320 CROSS-REFERENCE TO
[INTRODUCTION

A specialised community residential senic e
is a residential senice which provides car e ,
treatment aft4 developmental training fof
m e ntally retarded, multi handicapped mdivid
uals, childr e n ef adults, over a» extended pe-
ffod- el tim e . Through int e gration el medical
services affo clos e supervision, it is designed to
assist each individual t» attain bis highest l e v e l
el independent living sldlls while recei' . ing eafe
fof his physical needs. This senice f»ay be
c e rtifi e d fof M e dicaid as a» Intermediate Care
Facility fof foe M e ntally R e tard e d (ICF MR).

Specialized community residential senices
shall comply with the provisions of J_0 NCAC
14M .0101.

Statutory Authority G.S. 143B-147.

Statutory Authority G.S. 143B-147.
.0287 PROGRAM REQUIREMENTS

.0321
.0322
.0323
.0324

.0325
.0326

.0327
.0328
.0329

.0330

.0331
.0332
.0333
.0334

POPULATION SERVED (REPEALED)
HOURS OF OPERATION (REPEALED)
CAPACITY OF SERVICE (REPEALED)
QUALIFICATIONS OF DIRECTOR

(REPEALED)

NURSING STAFF (REPEALED)

PROVISION FOR INTERDISCIPLINARY

SERVICES (REPEALED)
CHILD/STAFF RATIOS (REPEALED)
MEDICAL STATEMENT (REPEALED)
INDIVIDUAL PROGRAM PLANS: GOAL

PLANS: NURSING CARE PLANS

(REPEALED)
DAILY TRAINING ACTIVITIES

(REPEALED)

PERSONAL CARE (REPEALED)
FAMILY PARTICIPATION (REPEALED)
MEDICAL CARE (REPEALED)
BEDROOM SPACE (REPEALED)

Statutory Authority G.S. /43B-J4' 7 .

NORTH CAROLINA REGISTER

1065

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PROPOSED RULES

SECTION .0400 - GROUP HOMES FOR

CHILDREN WHO ARK MENTALLY

RETARDED

.0421 INTRODUCTION (REPEALED)
.0422 POPULATION SERVED (REPEALED)
.0423 HOURS OF OPERATION (REPEALED)
.0424 CAPACITY OF HOME (REPEALED)
.0425 LOCATION OF HOME (REPEALED)
.0426 UTILIZATION OF COMMUNITY

SERVICES (REPEALED)
.0427 STAFF REQLIRED (REPEALED)
.0428 STAFF/CHILD RATIOS (REPEALED)
.0429 MEDICAL STATEMENT (REPEALED)
.0430 INDIVIDUAL PROGRAM PLANS AND

GOAL PLANS (REPEALED)
.0431 DAILY TRAINING ACTIVITIES

(REPEALED)
.0432 PERSONAL CARE (REPEALED)
.0433 FAMILY PARTICIPATION (REPEALED)

Statutory Authority G.S. 143B-147.

SECTION .0500 - COMMUNITY RESPITE

SERVICES FOR INDIVIDUALS WITH

MENTAL RETARDATION: OTHER

DEVELOPMENTAL DISABILITIES:

DEVELOPMENTAL DELAYS OR AT RISK

FOR THESE CONDITIONS

.0520 INTRODUCTION

(3) companion sitter is a support service in
which a trained respite provider is
scheduled to care for the individual in
a variety ©f settings, including the indi-
vidual's ew» home, e* other designated
sit&r Services » th» model may- be
provided »» a» individual »f group ba-
si$r This service is not subject to licen-
sure.
(4} Standards 4+^24- through 7&S34 ef- this
Section apply to c41 three models ef respite
care, fc- addition. Standards .0532 a«4 .0533
apply to center based services; Standards 053 1
through .0537 apply to private home servic e s:
ttfi4 Standards .0538 through .051 1 apply to
companion sitter sen ices.

Statutory Authority G.S. 143B-147.

.0521 (ROSS-REFERENCE TO POPULATION
SERVED

1 ach re s pite service - hall be design e d prima
ftb- to servo individuals who we mentally Fe-
tarded: however, otherwise developmental]; . '
disabled individuals whos e needs are similar to
mentallv r e tarded individuals hw*¥ be served .

I -ach community respite service shall comply
with the provisions of 10 NCAC MM .0702.

Statutory Authority G.S. 143B-I47.

.0522 DIRECTOR/COORDINATOR

(REPEALED)
.0523 FAMILY SERVICES COORDINATOR

(REPEALED)
.0524 AGE OF STAFF MEMBERS (REPEALED)
.0525 LENGTH OF STAY (REPEALED)
.0526 CLIENT MEDICAL EXAMINATION

(REPEALED)
.0527 MEDICAL PRECAUTIONS (REPEALED)
.0528 PERSONAL ACCOMMODATIONS

(REPEALED)
.0529 PERSONAL CARE (REPEALED)
.0530 RESPITE ACTIVITIES (REPEALED)
.0531 MEDICAL STATEMENT (REPEALED)
.0532 CENTER BASED SERVICES: STAFF

REQLIRED (REPEALED)
.0533 CENTER BASED SERVICES: CLIENT'S

HEALTH (REPEALED)
.0534 PRIVATE HOME SERVICES: PROVIDER

APPLICATION (REPEALED)
.0535 PRIVATE HOME SERVICES: PROVIDER

TRAINING (REPEALED)
.0536 PRIVATE HOME SERVICES:

AGREEMENT WITH PROVIDERS

(REPEALED)
.0537 PRIVATE HOME SERVICES: RESPITE

SERVICE RESPONSIBILITIES

(REPEALED)

Statutory Authority G.S. 143B-147.

.0538 COMPANION SITTER: APPROVAL
OF PROVIDERS

Each companion sitter servico governing
body shall develop and implement written cri-
teria for the approval of companion sitters
providers and the sites at which where com
panion sitter services may be provided.

Statutory Authority G.S. 143B-I47.

.0539 COMPANION SITTER SERVICES:
PROVIDER TRAINING

Each companion sitter provider shall com-
plete the pre-service training program pre-
scribed by the respite servic e , governing body.
Training mav include a basic understanding of
developmental disabilities, first aid and seizure
management.

Statutory Authority G.S. 143B-147.

.0540 COMPANION SITTER AGREEMENT
WITH PROVIDERS

(a) The companion sitter service governing
body shall sign a written agreement with each
companion sitter, provider.

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NORTH CAROLINA REGISTER

PROPOSED RULES

(b) The provisions of the agreement shall
include the responsibilities of the respit e oorvico
governing body and the companion sitt e r pro-
vider including:

(1) confidentiality requirements;

(2) procedures for securing emergency ser-
vices;

(3) program activities to be implemented;

(4) responsibilities for supervising respite
clients;

(5) procedures related to administration of
medications;

(6) participation in respite training pro-
grams; and

(7) terms of compensation.

(c) A signed copy of the agreement shall be
maintained » by the respite service files, gov-
erning body and a signed copy shall be given
to the companion sitter, provider.

Statutory Authority G.S. 143B-147.

.0541 COMPANION SITTER:

RESPONSIBILITIES OF GOVERNING
BODY

(a) Fach companion sitter s e rvic e governing
body shall attempt to match the r e spite client's
needs with the companion sitter's provider's
ability to provide respite services, care.

(b) E^ach companion sitter servic e governing
body shall provide make available to the com
panion sitter provider a written statement of
duties and responsibilities.

(1) This statement shall include length of
service to be provided, medications to
be administered and special dietary
considerations.

(2) If the client is involved in a develop-
mental or occupational program, the
companion sitter provider shall be pro-
vided written information regarding his
responsibilities for assuring that the cli-
ent attends the program and for struc-
turing activities to enhance objectives
established by the developmental or
occupational program.

(c) Each companion sitter service governing
body shall provide make available to the com
panion sitt e r provider a form for recording ill-
ness, accident, medical concern, including
administration of medication, and general
health and appearance of each client at the in-
itiation of each incident episode of respite sef-
vice. care. Following each respite incident

episode, the companion sitter facility shall for-
ward the completed form to the respite s e rvic e
governing body for inclusion in the client's re-
cord.

Statutory Authority G.S. 1 43 B- 147.

SECTION .0600 - GROUP HOMES FOR

INDIVIDUALS WHO ARE MENTALLY

RETARDED AND BEHAYIORALLY

DISORDERED (MR/BD)

.0601 INTRODUCTION (REPEALED)

.0602 POPULATION SERVED (REPEALED)

.0603 HOURS OF OPERATION (REPEALED)

.0604 CAPACITY OF HOME (REPEALED)

.0605 STAFF REQUIRED (REPEALED)

.0606 STAFF/CLIENT RAH OS (REPEALED)

.0607 INDIVIDUAL PROGRAM PLANS AND

GOAL PLANS (REPEALED)

.0608 BEHAVIORAL PROGRAMMING

(REPEALED)

.0609 DAY SERVICES (REPEALED)

.0610 COMMUNITY SERVICES (REPEALED)

.061 1 FAMILY INVOLVEMENT (REPEALED)

Statutory Authority G.S. MSB- 147.

SECTION .0700 - GROUP HOMES FOR
ADULTS WHO ARE MENTALLY RETARDED

.0701 INTRODUCTION (REPEALED)
.0702 POPULATION SERVED (REPEALED)
.0703 HOURS OF OPERATION (REPEALED)
.0704 ADMISSION DECISION OF CLIENT

(REPEALED)
.0705 RESIDENT FUNDS (REPEALED)
.0706 ANNUAL INTERNAL ASSESSMENT

(REPEALED)
.0707 COMPLIANCE WITH GROUP HOME

STANDARDS (REPEALED)
.0708 GROUP HOMES THAT MEET ICS/MR

CERTIFICATION (REPEALED)

Statutory Authority G.S. 143B-147.

SECTION .0800 - APARTMENT LIVING

PROGRAMS FOR ADULTS WITH MENTAL

RETARDATION OR OTHER

DEVELOPMENTAL DISABILITIES

.0802 POPULATION SERVED

Each apartment living program shall be de-
signed primarily to serve mentally retarded in-
dividuals with mental retardation or other
developmental disability who are at least 18
years of age and in need of residential support
services within a community setting.

Statutory Authority G.S. 143B-147.

.0803 CROSS-REFERENCE TO PROGRAM

NORTH CAROLINA REGISTER

1067

\im Million' I'll

PROPOSED RULES

DIRECTOR/COORDINATOR

(-a-? Fach apartment living program i . hull havo
a minimum h4~ e«e d e signated
director coordinator.

tto 44te dir e ctor coordinator shall be at least
a high school graduate? e* equivalent with thre e
years t4 e xperience h* mental retardation pfe-
gramming h«t preferably a colleg e graduate
with eft© yeaF t+f- experience m mental retard a
Ht-H% programming.

1 ach apartment living program shall comply
with the provisions of ]0 NCAC 140 .0204.

Statutory Authority G.S. 143B-147.

.0804 CROSS-REFERENCE TO STAFF

REQUIRED FOR MR/DD CLIENTS

ta4 44te stuffing patt e rn;: . ef the apartment
living program, including the staff resident Fa-
te a«4 the »*e el s olunteers. advocates aft4
other support individuals, shall he developed
wt response to the degr e e e4 independence e4
residents a«4 the geographical dispersal »£
apartment living units.

fk+ 44*e staff resident ratio shall he a* toh-
lows:

(4-? co resident apartment - at- least tme staft

member to e ach Hvt> residents:
(-2^ apartment cluster - at l e ast ewe staff
member to each 4-3 e* fewer residents:

independent living - at- least wh? staff

member to each 44 bf fewer residents.

When the director coordinator is rmi
available, the program shall designate another
person to s e rve m that capacity.

I ach apartment living program shall comply
with the provisions of _1_0 NCAC 14Q .0210.

Statutory Authority G.S. I43B-147.

.0806 PHYSICAL PLANT REQUIREMENTS
(REPEALED)

Statutory Authority G.S. I43B-147.

.0808 CROSS-REFERENCE TO TREATMENT
/HABILITATION PLAN

ta+ 44*e individual program plan toF each Fe-
sident shall be developed by- the apartment
living program a«4 the resident.

fto A- quarterly summary which includes at
least a review el the individual program plan
shall be prepared by- staff.

1 ach apartment living program shall comply
with the provisions of K) NCAC 14C) .1)207.

Statutory Authority G.S. I43B-147.

.0810 CROSS-REFERENCE TO CLIENT

TRAINING IN HEALTH AND SAFETY

fa-) Fach resident shall r e ceive training con
cennng safe a«4 proper methods el using
latchen a«4 housekeeping e quipment such at.
1 cmves, range, exhaust fans, a«4 other electrical
appliances.

( I ^ \ I ' ■ i ■ • fa r.T.'i.i. l^< .- ti - ■ 1 1 V-i ^i i -.1 •-. .^ .-■ ,-t ■- f- ♦ s~i tti-L--t fn/j

\ i- 'i nrrcTT i c siuuiii mnn nrrrv qcdoso CO 1 1 1 rj I ttrri

supplies located h* each apartment living «ftit
aftd- shall receive training i» the «se el those
supplies.

(-64 Fach resident shall receive instruction m
obtainmg services ift emergency situations.

(4f Iniormation e>» obtaining e mergency
s e rvices, including access to available tefe-
phones. Lhali he posted.

fef Fach r e sident who cannot s e lf medicate
shall he provided a training program to assist
hifft to he less reliant e>» drug administration
by staS aft4 more s e lf reliant regarding drug
administration.

Fach apartment living program shall comply
with the provisions of _1_0 NCAC 140 .0209.

Statutory Authority G.S. 1 43 B- 147.

.0812 CROSS-REFERENCE TO MANAGING
CLIENTS' FUNDS

fa+ Each apartment living program shall ae-
velop a«4 implement written policies regarding
the management el residents' funds.

(4h Fach r e sident shall manage bis own funds
when e v e r possible.

to) 44*e apartm e nt Living program shall
manage r e sid e nts funds only upon writt e n Fe-
quest by- the resident. af>4 shall provide to the
resident at rec e ived a«4 disbursed afto the ba4-
anc e »» hand.

Fach apartment living program shall comply
with the provisions of 10 NCAC 14K .0311.

Statutory Authority G.S. 143B-147.

SUBCHAPTER 18R - LICENSURE RULES FOR

MENTAL HEALTH: MENTAL RETARDATION

AND ALCOHOL FACILITIES

SECTION .0100 - DEFINITIONS

.0101 ADMINISTRATOR (REPEALED)
.0102 PARTIAL HOSPITALIZATION

(REPEALED)
.0103 DIVISION (REPEALED)
.0104 COMMISSION (REPEALED)
.0105 DEPARTMENT (REPEALED)
.0106 FACILITY (REPEALED)
.0107 IN-PATIENT FACILITY OR

RESIDENTIAL FACILITY (REPEALED)
.0108 Ol T-PATIENT FACILITY (REPEALED)
.0109 TREATMENT (REPEALED)

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NORTH CAROLINA REGISTER

PROPOSED RULES

Statutory Authority G.S. 122C-26; I43B-I47.

SECTION .0200 - APPLICATION FOR
LICENSE

.0201 LICENSE REQUIRED (REPEALED)
.0202 EXCLUSIONS FROM LICENSURE

(REPEALED)
.020? NOTICE REQUIRED (REPEALED)
.0204 CONTENT OF APPLICATION

(REPEALED)
.0205 LICENSURE SURVEYS AND ISSUANCE

(REPEALED)
.0206 RENEWAL (REPEALED)
.0207 SEPARATE LICENSE (REPEALED)
.0208 POSTING OF LICENSES (REPEALED)
.0209 EXCEEDING LICENSED CAPACITY

(REPEALED)
.0210 TRANSFERABILITY (REPEALED)
.0211 REVOCATION (REPEALED)
.0212 EMERGENCY REVOCATION (REPEALED)
.0213 INSPECTIONS (REPEALED)
.0214 REVIEW REQUIRED (REPEALED)

Statutory Authority G.S. 122C-3; I22C-22;
122C-23; 122C-26; I43B-147.

SEC! ION .0300 - ADMINISTRATION

.0301 COMPLIANCE WITH APPLICABLE

LAWS (REPEALED)
.0302 LICENSURE OF STAFF (REPEALED)
.0303 PERSON IN CHARGE (REPEALED)
.0304 VACANT POSITION (REPEALED)
.0305 DESIGNATED PERSON (REPEALED)
.0306 FINANCIAL AND STATISTICAL

RECORDS (REPEALED)

Statutory Authority G.S. 122C-26; I43B-I47.

SECTION .0400 - PERSONNEL: GENERAL

.0401 NUMBER OF PERSONNEL (REPEALED)
.0402 ASSIGNMENT OF PERSONNEL

(REPEALED)
.0403 PERSONNEL RECORDS (REPEALED)
.0404 POLICIES (REPEALED)
.0405 IN-SERVICE TRAINING (REPEALED)

Statutory Authority G.S. 122C-26; I43B-I47.

SECTION .0500 - ADMISSIONS AND
DISCHARGES

.0501 ADMISSION (REPEALED)
.0502 WRITTEN POLICIES (REPEALED)
.0503 P VTIENT INFORMATION (REPEALED)
.0504 DISCHARGE (REPEALED)

Statutory Authority G.S. 122C-26; I43B-147.

SECTION .0600 - RECORDS

.0601 PATIENT RECORD (REPEALED)

.0602 CONTENT (REPEALED)

.0603 INDICES AND REGISTERS (REPEALED)

.0604 FILING AND RETRIEVAL (REPEALED)

.0605 CONFIDENTIALITY (REPEALED)

Statutory Authority G.S. 122C-26; 143B-I47.

SECTION .0700 - CONTRACTED SERVICES

.0701 WRITTEN AGREEMENT (REPEALED)
.0702 CONTENT OF AGREEMENT (REPEALED)

Statutory Authority G.S. I22C-26; 143B-147.

SECTION .0800 - MEDICAL SERVICES

.0801 MEDICAL DIRECTION (REPEALED)
.0802 ORGANIZATION (REPEALED)
.0803 COMMITTEES (REPEALED)

Statutory Authority G.S. 122C-26; 143B-147.

SECTION .0900 - NURSING

.0901 NURSING STANDARDS (REPEAUED)
.0902 NURSES TO BE ON DUTY (REPEAUED)

Statutory Authority G.S. I22C-26; 143B-147.

SECTION .1000 - PHARMACEUTICAL
SERVICES

.1001 POLICIES (REPEALED)

.1002 DISPENSING (REPEALED)

.1003 STORAGE (REPEALED)

.1004 ADMINISTRATION (REPEALED)

Statutory Authority G.S. I22C-26; 143B-147.

SECTION .1 100 - DIETARY SERVICES

1 101 FACILITIES (REPEALED)

1102 ORGANIZATION (REPEALED)

1103 RECORDS (REPEALED)

1104 MENUS (REPEALED)

1105 SANITATION (REPEALED)

1 106 FOOD SERVICE BY CONTRACT
(REPEALED)

Statutory Authority G.S. 122C-26; 143B-147.

SECTION .1200 - PHYSICAL PLANT

.1201 HOUSEKEEPING (REPEALED)

.1202 CONSTRUCTION (REPEALED)

.1203 FIRE AND DISASTER PLAN (REPEALED)

.1204 FIRE DRILLS (REPEALED)

.1205 ELECTRICAL: MECHANICAL AND

WATER SYSTEMS (REPEALED)

.1206 STORAGE (REPEALED)

.1207 EMERGENCY POWER (REPEALED)

NORTH CAROLINA REGISTER

1069

PROPOSED RULES

.1208 ROOM SIZE (REPEALED)
.1209 EQUIPMENT AND FURNISHINGS
(REPEALED)

Statutory Authority G.S. 122C-26; 143B-147.

SECTION .1300 - WAIVER OF- RILES AND
REGULATIONS

.1301 PROGRAM FLEXIBILITY (REPEALED)
.1302 REQUEST FOR WAIVER (REPEALED)

Statutory Authority G.S. I22C-23; J22C-26;
122C-27; 143B-147.

SECTION .1400 - APPEAL PROCEDURES

.1401 DENIAL OR REVOCATION (REPEALED)
.1402 RLQLEST FOR HEARING (REPEALED)

Statutory Authority G.S. 122C-24; 122C-26;
122C-2 A : 143B-147; I50B-3.

CHAPTER 45 - NORTH CAROI IN A DRUG
COMMISSION

SUBCHAPTER 45H - DRUG TREATMENT
FACILITIES

SECTION .0100
FOR DRUG

- LICENSING REGULATIONS
IREATMENT FACILITIES

.0119 DEFINITIONS (REPEALED)

.0120 LICENSE (REPEALED)

.0121 GENERAL PROVISIONS (REPEALED)

.0122 ADMINISTRATION (REPEALED)

.0123 PERSONNEL (REPEALED)

.0124 MEDICAL SERVICES (REPEALED)

.0125 ADMISSIONS AND DISCHARGES

(REPEALED)
.0126 CASE RECORDS: DATA REQl. IRED

FOR TREATMENT CLIENTS (REPEALED)
.0127 CASE RECORD: DATA REQl IRED FOR

CRISIS INTERVENTION CLIENTS

(REPEALED)
.0128 CLIENT RECORD: DATA REQl IRED

FOR TELEPHONE CRISIS LINE

(REPEALED)
.0129 CASE RECORD: FILING AND

RETRIEVAL (REPEALED)
.0130 REFERRALS (REPEALED)
.0131 CONTRACTED SERVICES (REPEALED)
.0132 DIETARY SERVICES (REPEALED)
.0133 PHYSICAL PLANT (REPEALED)

Statutory Authority G.S.
/22C-23; 122C-26: I22C-27

90-109; I22C-3,
143B-14~.

TITLE II - DEPARTMENT
INSURANCE

otice is hereby given in accordance with G.S.
I SOB- 1 2 that the Department of Insurance in-
tends to adopt, amend and repeal regulations
cited as II S'CAC I .0101 - .0107, .0202 -
.0204, .0206 - .0208. .0301 - .0303. .0401, .0403
- 0404, .0406 - .0407, .0409 - .0412, .0601 -
.0605, .0701 - .0702; 3 .0001 - .0005, .0008.

1 he proposed effective date of this action is

July 1, 1988.

1 he public hearing will be conducted at 10:00
a.m. on April 20, 1988 at Third Floor Hearing
Room, Dobbs Building, 430 X. Salisbury Street,
Raleigh. Sorth Carolina 2761 1.

-omment Procedures: Written comments
should be submitted to Linda Stott, P.O. Box
26387, Raleigh, X.C. 27611. Oral presenta-
tions may be made at the public hearing.

CHAPTER I - DEPARTMENTAL RULES

SECTION .0100 - GENERAL PROVISION'S

.0101 NAME AND PURPOSE (REPEALED)
.0102 DEFINITIONS (REPEALED)

Statutory Authority G.S. 58-2; 58-4.

.0103 LOCATION: MAILING ADDRESS:
AND OFFICE HOURS

(a) Location. The primary location of The
North Carolina Department of Insurance is
locat e d m the Dobbs Building, 430 North Sal-
isbury Street. Raleigh, North Carolina. The
Engineering and Building Codes Division is
located at 4 1 N Bovlan Avenue. Raleigh,
North Carolina 27603. The Fire and Rescue

Division is located at

Seaboard Ave., Ra-

leigh. North Carolina 2761 1. The Eastern
Office is located at 41)5 Middle St.. Room 107,
New Bern. North Carolina 28560. The West-

ern Office is located at J_9 North Market
Square, Suite 210. Ashcville, North Carolina
2SSD1.

(c) The department shall have normal
working hours between S;ilO a.m. and 5:00
p.m.. Monday through Friday. Legal holidays
will be observed as recommended bv the North
Carolma Department of Administration.

Statutory Authority G.S. 58-4.

.0104 OFFICE HOURS (REPEALED)
.0105 COMMISSIONER OF INSURANCE
(REPEALED)

urn

SORTH CAROLISA REGISTER

PROPOSED RULES

Statutory Authority G.S. 58-4; 58-5; 58-9.

.0106 ORGANIZATION OF THE
DEPARTMENT

(a) In order to carry out effectively the its
functions and purposes, ef the department, the
department is divided into several divisions,
including, but not limited to the following:

(1) administration division,

(2) legal division,

(3) company admissions division,

(4) company operations financial evaluation
division,

(5) consumer insuranc e information divi-
sion,

(6) engineering and building codes division,

(7) fire and casualty division,

(8) fire and rescue services division,

(9) investigations division,

(10) licensing agent services division,

(11) life-accident and health division,

(12) special services division,

(13) state property fire insurance fund divi-
sion,

( 14) support services personnel division.

(15) budget division,

( 16) field audit division,

(17) self-insured workers' compensation di-
vision,

( 18) market conduct division,

( 19) actuarial services division,

(20) North Carolina Fire Commission.
fb) T4*e divisions afe organised a»4 admin

ister e d a* follows: reporting directly to the
commissioner is the chief deputy commis
sionor. Reporting to the chief deputy com
missionor a*e the directors, who ate alse
deputy commissioners. Reporting to the d+-
roctors a*e the heads ef the various divisions.
44w Director ef T e chnical Operations super
vises the company operations division a«4 the
company admissions division. : Phe Dir e ctor
ef Consumer Affairs supervis e s the consumer
insurance information, the licensing, the ift-
vestigations, the tier accid e nt a«4 health, the
legal a«4 the fife aft© casualty divisions. 4^he
Director ef Budget, Personn e l ae4 Qmbuds
man Services supervises the support services
division, ^Pbe Dir e ctor ef Non insurance Re-
gulatory Sefviees supervises the special sef-
vices, the fife ae4 rescue, the engin ee ring, a«4
the state property fund divisions. ?4*e chief
deputy commissioner directly supervis e s the
administration division.

Statutory Authority G.S. 58-7.3; 58-9.

.0107 PUBLIC INFORMATION AND

DEPARTMENTAL RECORDS

(a} Public Informatio n ¥he public shall he
entitl e d to access to afty a«© all information
containod m the files ef the department, oxcopt
when divulging information could jeopardize
the rights ef any- porson to a faif hearing with
roforenc e to allogod violations ef insuranco
laws, ef when the information is proporly
deemed by the department to be ef a eonfi
dential nature Roquosts £©f departmental re-
cords shall be made m writing to the
commissioner aft© dir e cted to the attontion ef
the appropriate division a* outlinod i» this Ti-
tle.

fb) Reproduction ef Departmental Records.
Reproduction ef departmental records will be
permitted e» a discretionary basis d e pending
©» the volume ef- the r e quest a©4 the avail
ability ef personnel to make the reproductions.
Fees charged for reproduction ef departmental
records will be i» accordance with the applica
ble General Statut e s ef North Carolina a«4
based eft additional costs to the department, if

Departmental records that are properly
deemed to be public information may be re-
produced upon request. The request must be
made in writing and directed to the head of the
appropriate division. Reproduction of de-
partmental records will be permitted on a dis-
cretionary basis depending on the volume of
the request and the availability of personnel to
make the reproductions. Fees will be charged
in accordance with the applicable General
Statutes of North Carolina.

Statutory Authority G.S. 58-4; 58-9.

SECTION .0200 - DEPARTMENTAL RULES

.0202 FORMER DEPARTMENTAL

REGULATIONS RETAINED AND
CITED (REPEALED)

Statutory Authority G.S. 58-9.

.0203 PETITION FOR ADOPTION:

AMENDMENT OR REPEAL OF RULES

(b) Form of Petition. The petition shall be
in writing, signed by the petitioning party or
parties and must include the address of the
petitioning party, ef parties. In addition, the
petition shall contain the following informa-
tion:

(d) Disposition of Petition. Upon receipt
of a petition, the commissioner will make a
study of the facts stated in the petition and any
additional information he deems relevant. The
department's disposition of the petition will be

NORTH CAROLINA REGISTER

1071

PROPOSED RULES

made in one of the following forms within 30
days of receipt of the proposal: petition:
(2) a written communication to the peti-
tioner indicating the department's plan
to initiate rule-makine procedures pur-
suant to G.S. 150A 11 150B-12.

Statutory
I SOB- 12.

.0204

Authority G.S. 58-9 through 58-16;

NOTICE OF RULE-MAKING
HEARINGS

Notice of rule-making hearings will be given
in accordance with the provisions of North
Carolina General Statutes, Chapter 150A,
Section -H- 150B-11

Statutory Authority G.S. 150B-I2.

.0206 ORAL AND WRITTEN

PRESENTATIONS AT RULE-MAKING

HEARINGS (REPEALED)
.0207 REQUEST FOR NOTICE OF

RULE-MAKING HEARINGS

(REPEALED)
.0208 EMERGENCY RULES (REPEALED)

Statutory Authority G.S. 150B-12; I50B-13.

SECTION .0300 - DECLARATORY RULINGS

.0301 DECLARATORY RULINGS: GENERAL
INFORMATION

To acquire a declaratory ruling as provided in
G.S. 150 A 17. 15UB-F7. the procedures set
forth in this Section shall be strictly adhered to.

Statutory Authority G.S. I50B-17.

.0302 PETITION FOR DECLARATORY
RULING

(b) Form and Content of Petition. The pe-
tition shall be typewritten and shall contain the
name and address of the petitioner, the specific
factual situation involved, the question e*
questions sought to be answered, and the
identification of the rules, statutes, or orders
applicable to the question presented, te addi
tion, the factual > jituution involv e d a«4 the
question presented hy the petitioner must he
cl e arly stated: Precision ! . hall he exefeised t»
the drafting t4' the factual .. tatement aft4 the
question pr e s e nt e d.

(d) Mailing Address. All requests for de-
claratory rulings shall be mailed to: Commis-
sioner of Insurance, AT'IT'N I ION: Chief
Deputy Comini i.'. ioner, P.O. Box 26387, Ra-
leigh, North Carolina 27611.

Statutory Authority G.S. I50B-/7.

.0303 RESPONSE OF COMMISSIONER TO
PETITION

(b) Rufusal Refusal to Issue Declarator)'
Ruling. The commissioner may refuse to issue
a declaratory ruling if one of the following cir-
cumstances exists:

Statutoty Authority G.S. 150B-I7.

SECTION .0400 - ADMINISTRATIVE
HEARINGS

.0401 RIGHT TO HEARING

Whenever the commissionor department acts
in such a way as to affect the rights, duties or
privileges of a specific identified party, the
commit .'. ioner shall hold a» administrative
hearing following 4«e notice prior to such ae-

t » . -v r-t f\r i' n -il I j ■ , i i -i.-n tlril gfci i r-j 1 I ■• ^ t 1-iil' t~t it Vi i t si -i
rTTTTT OT cTTTTTT IITJ T T J*V 111UI l.'Ul I f rTT 1 II J I I CJ it IVT CT

hearing upon compliance with 4-4- NCAC 4-
.0 . 102 a»4 .0 103. the party may appeal for a
final decision by the department in accordance
with Article 3A of G_S_ 150B.

Statutory Authority G.S. 58-9; 150B-38.

.0403 REQUEST FOR HEARING

(a) A request for an administrative hearing
must be made within 30 days of the commi t,
i iionor's department's action and must be in
writing, containing the following information:

Statutory Authority G.S. 58-9; 150B-3S.

.0404 GRANTING OR DENYING HEARING
REQUESTS

A decision as to whether a hearing will be
granted shall be issued promptly and in »» any
case no later than 30 days after receipt of the
request, exclusive of the time required for an
attempt at informal settlement. Approval of
a request for hearing shall be made by the is-
suance of a notice of hearing. A denial of a
request for hearing shall contain a statement
of the reason for denial.

Statutory Authority G.S. 58-9.

.0406 FAILURE TO APPEAR AT HEARING

(a) Whenever a party to a contested case fails
to appear after timely notice of hearing, the
department shall proceed with the hearing un-
less, in the discretion of the hearing officer, he
determines such hearing should not be con-
ducted. Failure to appear at a scheduled
hearing, except as authorized by the hearing
officer, shall result in a waiver of the right to a
hearing.

1072

NORTH CAROLINA REGISTER

PROPOSED RULES

(b) A person who has failed to appear at a
scheduled hearing may petition the commis-
sioner to have the hearing rescheduled by
writing to the commissioner, stating his ef hep
name, address, the dispute involved, and the
reason for his ef hep failure to appear at the
scheduled hearing. If the commissioner finds
that the failure to appear at the scheduled
hearing was for a good reason, he may, at his
discretion, reschedule the hearing.

Statutory Authority G.S. 150B-39.

.0407 INTERVENTION IN AN

ADMINISTRATIVE HEARING

(d) If the commissioner d e termines t» allow
allows intervention, notice of that decision
shall be issued promptly to all parties and to
the petitioner, -m cases ef- discr e tionary inter
vontion, such notification Notification will in-
clude a statement of any hirutation of time,
subject matter, evidence, or what e ver eke is
deemed necessary, wliich a*e other limitations
imposed on the intervenor. If the commis-
sioner's decision is to deny intervention, the
petitioner will be notified promptly.

Statutory Authority G.S. I A- 1; I50B-38.

.0409 SUBPOENAS

(b) Subpoenas requiring the attendance of
witnesses, or thos e m produce reproduction of
documents, evidence or things will be issued
promptly by a hearing officer after receipt of a
written request from a party to a contested case
for such subpoena.

(e) Except as may be otherwise stated » a
particular subpoena a party e* p e rson receiving
a subpoena from me department may- object
thereto by filing a written objection te- me
subpoena with me Deputy Commissioner,
fcega* Division, PtQt fW 16387, Ral e igh,
North Carolina 2761 1.

Statutory Authority G.S. 150B-38; I50B-39.

.0410 SERVICE OF SUBPOENAS

Subpoenas shall be served as the officer issu-
ing the subpoena shall direct, as may- be ap-
propriate m me circumstances ef- me case.
Subpoenas may be directed to be served by
any of the following methods:

( 1 ) b\ an employee of the agency; depart-
ment; or

Statutory Authority G.S. 150B-38; 150B-39.
.041 1 OBJECTION TO A SUBPOENA

(a) Except as may be otherwise stated in a
particular subpoena, a party or person receiv-
ing a subpoena from the department may ob-
ject thereto by filing a written objection to the
subpoena with the Deputy Commissioner,
Legal Division, P.O. Box 26387, Raleigh, N.C.
2761 1. An objection to a subpoena must in-
clude a concise but complete statement of rea-
sons why the subpoena should be revoked or
modified. These reasons may include any
reason in law for holding the subpoena invalid.

(c) fe such time as may be granted by a
hearing officer, me The party requesting the
subpoena may file a written response to the
objection. The response shall be served in like
manner as the objection.

(d) After receipt of the objection and re-
sponse thereto, the hearing officer shall issue a
notice to the party who requested the sub-
poena and the party challenging the subpoena,
and may notify all other parties of a hearing,
to be scheduled as soon as practicable, at
which time evidence and testimony may be
presented limited m me questions raised by
regarding the objection and response if afty-r
may be presented.

Statutory Authority G.S.
150B-40.

150B-38; 150B-39;

.0412 APPEALS TO THE COMMISSIONER
(REPEALED)

Statutory Authority G.S. 58-155.49; 58-155.83;
58-173.11; 58-173.23; 58-248.39.

SECTION .0600 - GENERAL
DEPARTMENTAL POLICIES

.0601 COMMUNICATIONS WITH
INSURANCE COMPANIES

It is the policy of this department when
deemed necessary to communicate with insur-
ance companies at company expense by means
of collect telepone telephone calls, telegrams
and other similar communications.

Statutory Authority G.S. 58-9; 58-25.1.

.0602 INSURANCE COMPANIES' RESPONSE
TO DEPARTMENTAL INQUIRIES

Departmental policy requires mat Every in-
surer, upon receipt of an inquiry, oral or writ-
ten, from the department shall furnish the
commissioner ef or his designated represen-
tative with a complete and accurate response
in writing, unless such response is specifically
authorized by the commissioner to be given
orally. Such response must be made by the

NORTH CAROLINA REGISTER

1073

PROPOSED RULES

insurer within seven calendar days of receipt
of the request, except that the commissioner
ma) extend this time period in an individual
case.

Statutory Authority G.S. 58-9; 5S-25.J.

.0603 FACSIMILE COUNTERSIGNATURE
NOT VALID

ft- shall be the policy ef the department that
the H*e hy- a» agent ef a rubber stamp signature
fef countersignature, pursuant te the pfe-
vv . ions ef G.S. 5H ■ ! ' !, shall Ret constitut e a le-
gal- signature aed such countersignature ef
policies is Ret valid.

If countersignature is required pursuant to the
retaliatory provisions of G.S. 58-61 5(i), the use
bv an agent of a facsimile signature for coun-
tersisznature shall not constitute a letzal signa-

ture and such countersignature of policies is
not valid.

Statutory Authority G.S. 58-44.

.0604 SPECIAL AGENT NOT RESIDENT FOR
COUNTERSIGNATURE PURPOSES
(REPEALED)

.0605 HEARING AND LICENSE REVOCATION
PROCEEDINGS (REPEALED)

Statutory Authority G.S. 58-9.3; 58-9.4; 58-37;
58-38; '58-44; 58-44.4 A; 58-56.3; 66-49. 1 3:
85C-17; 85C-18.

SECTION .0700 - ADMINISTRATION
DIVISION

.0701 PURPOSES OF DIVISION (REPEALED)
.0702 DIVISION PERSONNEL (REPEALED)

Statutory Authority G.S. 58-7. J; 58-7.3.

CHAPTER 3 - LEGAL DIVISION

.0001 DEFINITIONS (REPEALED)

Statutory Authority G.S. 58-9; I SOB- J 2(f).

.0002 PURPOSE OF DIVISION

The Legal Division counsels, advises and
renders legal assistance to the commissioner ef
Insurance and his staff in all matters necessary
for the general administration of the insurance
laws of this state and other matters over which
the commissioner ef Insurance has supervisory
and regulatory jurisdiction.

Statutory Authority G.S. 58-~.3; 5S-9.

.0003 DEPUTY COMMISSIONER (REPEALED)
.0004 DIVISION PERSONNEL (REPEALED)

Statutory Authority G.S. 58-7.3; 58-9;
J SOB- 12(f).

.0005 SERVICE OF LEGAL PROCESS

North Carolina General Statutes Sections
58 52.1; 58-153, and 58-153.1, 58-397, 58-440.
58-508(1), 58-512(b). and 5S-615(h)(2) provide
that service of legal process may be made upon
insurance companies, insurance-support or-
ganizations, risk retention and purchasing
groups, and non-resident agents, adjusters,
motor vehicle damage appraisers aed brokers
licensees doing business in this state by serving
such process upon the commissioner ef Insur
anc e or a deputy duly appointed for such pur-
pose. The commissioner will appoint a deputy
or deputies within the Legal Division ef other
divisions ef the department to receive and
perfect all legal process in accordance with the
provisions of the applicable statutes.

Statutory Authority G.S. 58-/53; 58-153.1;
58-397; 58-440;' 58-508(1); 58-512(b);
58-6 15 (h)(2).

.0008 LEGAL OPINIONS

When a person who is regulated by the de-
partment requests clarification of a statute or
rule where the person is about to engage in a
business activity that may violate the statute
or rule, the department may honor the request,
subject to available resources or in the dis-
cretion of the deputy commissioner of the legal
division.

A request for a legal opinion made by a per-
son involved in a legal or factual dispute shall
not be honored.

A request for a legal opinion on a hypothet-
ical fact situation shall not be honored.

Every request for a legal opinion as to how
to apply a statute or rule to a fact situation
must be made in writing. The person making
the request should be advised that it may not
be appropriate for the department to render a
legal opinion and that any legal opinion ren-
dered by the commissioner or his counsel,
other than a declaratory ruling issued under
G.S. 1 SOB- 17, is not binding on the commis-
sioner, and does not prevent the commissioner
from subsequently acting in a manner incon-
sistent with the legal opinion's conclusion.

Statutory Authority G.S. 58-7.3; 58-9.

TITLE 12 - DEPARTMENT OF JUSTICE

1074

NORTH CAROLINA REGISTER

PROPOSED RULES

Ivotice is hereby given in accordance with G.S.
I50B-/2 that the North Carolina Alarm Sys-
tems Licensing Board intends to adopt and
amend regulations cited as 12 NCAC II .0102
- .0103, .0/22, .0206, .0303.

1 he proposed effective date of this action is
August I, 19S8.

1 he public hearing will be conducted at 12:00
p.m. on May 10, 19SS at McKimmon Center,
Gorman Street at Western Boulevard, Raleigh,
North Carolina (ROOM WILL BE POSTED).

C omment Procedures: File all comments with
James F. Kirk, Administrator, P.O. Box 29500,
Raleigh, North Carolina 27626, by 5:00 p.m.,
Apr it 29, 1988.

CHAPTER 12 - NORTH CAROLINA ALARM
SYSTEMS LICENSING BOARD

SECTION .0100 - ORGANIZATION AND
GENERAL PROVISIONS

.0102 LOCATION

The administrative offices of the Alarm Sys-
tems Licensing Board are located in the head-
quarters of the State Bureau of Investigation
at 3320 Old Garner Road; Raleigh, North Ca-
rolina 27626, telephone (919) 779- 44W M611.

Statutory Authority G.S. 74D-4.

.0103 DEFINITIONS

In addition to the definitions under G.S.
Chapter 74D, the following definitions shall
apply throughout this Chapter:

(1) "Applicant" means any person, firm, or
corporation applying to the board for a
license or registration.

(2) "Board" means the Alarm Systems Li-
censing Board established by G.S. Chap-
ter 74D.

(3) "Branch Manager or Operator" means
the licensee endowed with the responsi-
bility and liability for a branch office.

(4) "Branch Office" means a separate but
dependent part of a central organization.
The establishment of a telephone number
or mailing address in the company name
constitutes prima facie evidence of a
branch office.

(5) "Chairman" means the Chairman of the
Alarm Systems Licensing Board.

(6) "Installs" means placing an alarm device
in a residential or commercial location
and includes demonstrating the utilization
of an alarm system device for a specific
location and function within the protected
premises, and, with such knowledge ef-
the alarm system operation, delivering

I ItiI Jiiiiiaji i i-\ tjT^ ti^uttAC i > r iM't iifil i i r Q I * * "* ■ *

IllUl UVT i\M IV 1 1 I\J tTTTTTtT v/ i \j PC * i* iu i Ul E 1 1\J

protected premises.

(7) "Licensee" means any person licensed
pursuant to G.S. Chapter 74D.

(8) "Responds" means receiving a moni-
tored alarm signal that indicates the exist-
ence of an unauthorized intrusion or
taking from the premises of a customer,
and being required by contract to take
action upon receipt of that alarm signal.

(9) "Services" means inspecting, testing, re-
pairing or replacing an alarm system de-
vice within protected premises.

(10) "Monitors" means receiving a contin-
uous signal from protected premises or
contracting with a person, firm or corpo-
ration to provide accessible equipment
and personnel to receive a signal from an
alarm device in a residential or commer-
cial location and take certain action in re-
sponse.

(11) "Qualifying Agent" means any person
who meets the requirements of G.S.
74D-2(c), provided that no licensee may
act as qualifying agent for more than one
alarm systems business without prior au-
thorization of the board.

(12) "Knowledge of Specific Applications"
means obtaining specific information
about the premises which is protected or
is to be protected, such knowledge gained
during an on-site visit. Conducting a
survey shall be prima facie evidence that
knowledge of specific application has been
gained.

(13) "Lmployee" means a person who has
an agreement with a licensee to perform
alarm systems business activities under the
direct supervision and control of the li-
censee, for whose services any charges are
determined imposed and collected by the
licensee, and for whose alarm systems
business activities the licensee is legally li-
able.

(14) "Agency Head" means the Chairman
of the .Alarm Systems Licensing Board.

Statutory Authority G.S. 74D-2; 74D-5.

.0122 RULE-MAKING AND ADMINISTRATIVE
HEARING PROCEDURES

NORTH CAROLINA REGISTER

1075

PROPOSED RULES

The Administrative Procedures for rule-mak-
ing and hearings, codified as Title 26, Chapters
2 and 3 of the North Carolina Administrative
Code, effective August 1, 1986, are hereby
adopted by reference to apply to actions of the
Alarm Systems Licensing Board. Pursuant to
G.S. §150B-14(c) this reference shall automat-
ically include any later amendments and edi-
tions to Title 26 Chapters 2 and 3 of the North
Carolma Administrative Code.

Statutory Authority G.S. 74D-5.

SECTION .0200 - PROVISIONS FOR
LICENSEES

.0206 RECORDS INSPECTION

(a) records of a licensee maintained to satisfy
the requirements of G.S. Chapter 74D or 12
NCAC Chapter 1 1 shall be subject to in-
spection by the administrator or his staff upon
demand between 8:00 a.m. and 5:00 p.m.
Monday through Friday.

( b ) All licensees having registered employees
shall submit a copy of their current quarterly
Employment Security Commission NCUI
101-625 to the administrator's office at the
same time the form is submitted to the Em-
ployment Security Commission; and an addi-
tional list of non-Employment Security
Commission employees currently employed by
the licensee with the dates of employment.
Those licensees who do not submit an Em-
ployment Security Commission NCUI 101-
625 shall submit the names of their employees
on a form provided by the board.

(c) All records required to be kept bv either
Chapter 741") of the General Statutes of North
Carolina or bv L2 NCAC 1 1 shall be retained
for at least three vears.

Statutory Authority G.S. 74D-5.

SECTION .0300 - PROVISIONS FOR
REGISTRANTS

.0303 MINIMUM STANDARDS FOR
REGISTRATION

An applicant for registration must:

( 1 ) be at least 4-8- j_6 years of age:

(2) be a citizen of the United States or a re-
sident alien; and

( 3) be of good moral character and temperate
habits. Any of the following within the
last five years shall be prima facie evidence
that the applicant does not have good
moral character or temperate habits: con-
viction by any local, state, federal, or mil-
itarv court of anv crime involving the

illegal use. carrying, or possession of a fir-
earm; conviction of any crime involving
the illegal use, possession, sale, manufac-
ture, distribution, or transportation of a
controlled substance, drug, narcotic, or
alcoholic beverage, conviction of a crime
involving felonious assault or an act of
violence; conviction of a crime involving
unlawful breaking and or entering, bur-
glary, larceny, any offense involving moral
turpitude: or a history of addiction to al-
cohol or a narcotic drug: provided that,
for purposes of (3) of this Rule, "con-
viction" means and includes the entry of
a plea of guiltv, plea of no contest, or a
verdict of guilty;
(4) not have been declared by any court of
competent jurisdiction incompetent by
reason of mental disease or defect; or not
have voluntarily committed himself or
herself to an institution for treatment of
mental disease or defect; or not have been
involuntarily committed to an institution
for treatment of mental disease or defect
by a district court judge. When an indi-
vidual has been treated and found to have
been restored by a psychiatrist, the board
will consider this evidence and determine
whether the applicant meets the require-
ments of this Paragraph.

Statutory Authority G.S. ~4D-5.

.0306 RENEWAL OR RE-ISSL E OF
REGISTRATION

(a) Each applicant for renewal of a registra-
tion identification card or his employer, shall
complete a form provided by the board. This
form should be submitted not less than 30 days
and not more than 90 days prior to expiration
of the applicant s current card and shall be ac-
companied by:

( 1 ) two recent head and shoulders color
photographs of applicant of acceptable
quality for identification one inch by
one inch in size; and

(2) statements of the result of a local crim-
inal history records search by the
City County Bureau or Clerk of Supe-
rior Court in each county where the
applicant has resided within the imme-
diate preceeding 12 months; and

(3| the applicant's renewal fee.

(b) Each applicant for re-issue of a registra-
tion identification card, or his employer shall
complete a form provided by the board. This
form shall be submitted to the board and ac-
companied by:

If)' 6

SORTH CAROLI.XA REGISTER

PROPOSED RULES

(1) two recent head and shoulders photo-
graphs of applicant of acceptable qual-
ity for identification one inch by one
inch in size; and

(2) the applicant's re-issue fee.

(c) The employer of each applicant for a re-
gistration renewal or reissue shall give the ap-
plicant a copy of the application which will
serve as a record of application for renewal and
shall retain a copy of the applicant's renewal
application in the individual's personnel file in
the employer's office.

Statutory Authority G.S. 74D-5.

TITLE 13 DEPARTMENT OE LABOR

I V otice is hereby given in accordance with G.S.
I SOB- 1 2 that the Department of Labor intends
to amend and repeal regulations cited as 13
XCAC I A .0202 - .0204; IB .020/, .0307 -
.0308, .0502 - .0508, .0001, .0603, .0604; IC
.0103 - .0105, .0205 - .0206. .0301 - .0302,
.0401 - .0402, .0501 - .0506; 4C .0003; 6 .0104
- .0105; 7A .0103, .0201 - .0207; 7B .0101,
.0103, .0106, .0109, .0111 - .0112, .0114, .0116,
.0119, .0201. .0203, .0309, .0502, .0705, .0706.
.0709 - .0711. .0904, .1003; 7D .0408, .1205,
.1904; 12 .0404 - .0405, .0502, .0703; 13 .0301;
14 .0504 - .0505, .0603, .0813, .0815.

1 he proposed effective date of this action is
July 1, 1988.

1 he public hearing will be conducted at 2:00
p.m. on April 14. 1988 at Conference Room,
Room 249, Labor Building, 4 West Edenton
Street, Raleigh, Xorth Carolina.

C omment Procedures: People wanting to
present oral testimony at the hearing or who
want to have written testimony read at the
hearing, should provide a written summary of
the proposed testimony to the department by
April 11, 1988. Oral presentations will be lim-
ited to 15 minutes each. Written statements not
presented at the hearing will be accepted by the
department until April 14, 1988. All corre-
spondence should be directed to Bobby Bryan,
SC Department of Labor, 4 West Edenton
Street, Raleigh NC 27601 . Interpretors for the
hearing impaired will be made available if re-
quested 24 hours in advance.

CHAPTER 1 - DEPARTMENTAL RULES

SUBCHAPTER 1A - GENERAL PROVISIONS
AND ORGANIZATION

SECTION .0200 - ORGANIZATION

.0202 CONTROLLER'S OFFICE (REPEALED)
.0203 COMMUNICATIONS OFFICE

(REPEALED)
.0204 PERSONNEL OFFICE (REPEALED)

Statutory Authority G.S. 95-4.

SUBCHAPTER IB - RULE-MAKING AND
ADMINISTRATIVE HEARING PROCEDURES

SECTION .0200 - NOTICE OF RULE-MAKING
HEARINGS

.0201 TIMING OF NOTICE (REPEALED)

Statutory Authority G.S. 95-4(2); 150B-12(2J.
SECTION .0300 - RULE-MAKING HEARINGS

.0307 RECORD OF PROCEEDINGS

A record of all rule-making proceedings will
be maintained in the Commissioner of Labor's
office for as long as the rule is in effect, and for
five years thereafter, following filing with the
administrative' procedur e s division e^tfee Office
ei the Attorney General. Office of Adminis-
trative Hearings. This record will contain: the
original petition, the notice, all written memo-
randa and information submitted, and a record
or summary of oral presentation, if any. Re-
cord of rule-making proceedings will be avail-
able for public inspection during the regular
office hours of the Department of Labor.

Statutory Authority G.S. 95-4; 150B-12.

.0308 EMERGENCY RULES (REPEALED)

Statutory Authority G.S. 95-4; 150B-13.

SECTION .0500 - ADMINISTRATIVE
HEARING PROCEDURES

.0502 PETITION FOR HEARING

(c) Subsequent to such informal action, if
still dissatisfied, the individual should submit
a request te-r Commissioner ©f Labor, 344
West Jones Street, Raleigh, North Carolina
27603, with the container ef 4ve request bear
tfH* 4*> notation: R-fe RLQUEST PQR AD-
MINISTRATIVE HEARING. Tka4 request
should contain 4h? following information: file
a petition for a hearing with the Office of Ad-
ministrative I Ieanngs m accordance with Arti-
cle 3 of Chapter 150B of the General Statutes.
(44, nam e *ft4 address ©f- 4h» petitioner.

NORTH CAROLINA REGISTER

1077

PROPOSED RULES

{ii a concise statement trf the action taken
by the commissioner which h> chal
longed,
i-M a concise statement ef the way m- which

the petition e r ha* boon aggrieved;
(-4+ a clear e«4 specific statement trf request
fof a hearing.
(4+ Such request w+h he acknowledged
promptly and. h doomed appropriate, a hearing
w+h he scheduled.

Statutory- Authority G.S. 95-4.

.0503 GRANTING OR DENYING HEARING

REQUESTS (REPEALED)
.0504 NOTICE OF HEARING (REPEALED)
.0505 WHO SHALL HEAR CONTESTED CASES

(REPEALED)
.0506 PETITION FOR INTERVENTION

(REPEALED)
.0507 TYPES OF INTERVENTION (REPEALED)
.0508 DISQUALIFICATION OF HEARING

OFFICER (REPEALED)

Statutory- Authority G.S. 95-4; 150B.

SECTION .0600 - ADMINISTRATIVE

HEARINGS: DECISIONS: RELATED RIGHTS

AND PROCEDURES

.0601 FAILURE TO APPEAR (REPEALED)

Statutory Authority G.S. 95-4; 150B-25(a).

.0603 SUBPOENAS (REPEALED)
.0604 DEPOSITIONS (REPEALED)

Statutory Authority G.S. 95-4(2); 150B-2' 7 ;
I50B-28(a).

SUBCHAPTER 1C - PERSONNEL RULES

SECTION .0100 - AFFIRMATIVE ACTION
POLICY

.0103 JOB STRUCTURING

(+H Iach employee s position t* r e viewed
annually by the immediate ' / . upon isor e» the
employee s anniversary date. Thp . review de-
termines h employees afe utilising th e ir foh 1
potential, h th e y afe eligibl e h+f promotion. »f
h additional training «* counseling h> required.

Statutory Authority G.S. 95-4, 2).

.0104 TRAINING AND EDUCATION

(REPEALED)
.0105 PROGRAM EVALUATION

(REPEALED)

Statutory Authority 95-4, 2 i.

SECTION .0200 - EMPLOYMENT POLICY

.0205 HIRING PROCEDURES

fe} 44*e applicant should respond hy letter,
accepting »f refusing the position.

ffy Ah appointments to clerical positions w4&
he probationary ' fof a penod el three month '. ,
at+4 permanent appointments w4h he contm ■
se»t upon satisfactory perlormance dunng the
probationary period. A midpoint a»4 final
performance evaluation w+h 1 he given t» e ach
probationary employee prior te granting per-
manent status. Jf porfonnanco » unsatisfae
t*wy aft4 status fs net- granted, the e mployee?
wth 1 he given twe- weeks written notice ef tef-
mination.

fg-^ Ah appointment :, k* professional an4
technical positions wth he probationary f-e* a
penod trf sht months. a»4 permanent appoint
ment wth he contingent upon satisfactory pef-
foimaneo dunng the probationary period. A
midpoint a»d fmal performance evaluation wih 1
he given to each probationary employee prior
te granting permanent status. U performance
h* unsatisfactory an4 pemianent status h> ftet-
granted, employees w4h he given tw-e- weeks
written notice e£ tennination.

Statutory Authority G.S. 95-4(2).

.0206 ORIENTATION PROCEDURES
(REPEALED)

Statutory Authority G.S. 95-4(2).

SECTION .0300 - PARKING POLICY

.0301 PARKING POLICY (REPEALED)

.0302 EXCEPTION TO POLICY (REPEALED)

Statutory Authority G.S. 143-340(18).

SECTION .0400 - EMPLOYEE APPRAISAL
AND INCREMENT RULES

.0401 PERFORMANCE APPRAISAL (REPEALED)
.0402 MERIT INCREMENT AWARD (REPEALED)

Statutory Authority G.S. 95-4.

SECTION .0500 - GRIEVANCE PROCEDURES

.0501 GENERAL PROVISIONS (REPEALED)
.0502 DISCUSSION WITH IMMEDIATE

SLPFRVISOR (REPEALED)
.0503 APPEAL TO PERSONNEL OFFICER

(REPEALED)
.0504 APPEAL TO EMPLOYEE GRIEVANCE

COMMITTEE (REPEALED)
.0505 FINAL DECISION BY COMMISSIONER

1078

\ORTH CAROLINA REGISTER

PROPOSED RULES

(REPEALED)

.0506 APPEAL TO THE STATE PERSONNEL
COMMISSION (REPEALED)

Statutory Authority G.S. 95-4(2); 126-34.

CHAPTER 4 - CONCILIATION AND
ARBITRATION DIVISION

SI BCHAPTER 4C - MEDIATION

.0003 INTERVENTION BY COMMISSIONER
(REPEALED)

Statutory Authority G.S. 95-36.

CHAPTER 6 - MINE AND QUARRY

SECTION .0100 - GENERAL PROVISIONS

.0104 ADVISORY COUNCIL (REPEALED)

Statutory Authority G.S. 74-24.6.

.0105 DEFINITIONS

The following definitions shall apply in this

Chapter:

way: . &&4 roads appurtenant thereto,

structure ; ;, facilities, machinery, tools,

equipment, shafts, slopes, tunnels, e.\ca
vations, a»4 other property, real ©f pef-
sonal, plac e d ©f constructed ©fh- under, ©f
above the surface ©f such hm4 by a»y
person, used iFh ©f f© be used wh ©f f»-
sulting from (including the reclamation ©f
mine areas ©f the storag e ©f material t»
mined areas), ©f f© facilitate the work ©I
exploring f-©Fr developing ©f-r ©f extracting
by- any means ©f method m such area ah
minerals, inorganic an4 organic, from
their natural deposits; 4^he tenn "mine"
ab>© includes ah mineral processing aft4
mdling facilities except thoso used m the
processing ©f source mat e rials as* defined
h* the Atomic Energy AeF ©f 1% ' 1, as
amended;

(-§} "operator" — a© individual, partnership,
association, corporation, firm, subsidiary
©f a corporation, ©f other organization
owning, operating, leasing, controlling, ©f
supervising a mining operation;

f6+ "accident" — a» unexpected event result
iftg m injury t©r illn e ss ©£? ©f death ©f a
person ©f persons as a r e sult ©f mining
operations aft4 aay- mine explosion, mine
ignition, mine f+Fer mine inundation, mine
cave in, ©f other event which could hav e
r e adily resulted h* serious physical harm;

Statutory
95-4.

Authority G.S. 74-24.2; 74-24.8;

CHAPTER 7 - OFFICE OF OCCUPATIONAL
SAFETY AND HEALTH

SUBCHAPTER 7A - GENERAL RULES

SECTION .0100 - PURPOSE: DEFINITIONS

.0103 DEFINITIONS

The following definitions shall apply
throughout this Chapter:
(4} Employer. A person engaged m a busi
Hess who has employees, including a»y-

■ t 'I 1 i> (-\r T-i.^litii"il tr i iKjIii Hi-inn r^t n rtn>A Vvi i4
TTTTTv Ct 1_'V.' Ill [WO L'Lll'TJI Y r9XwXl vl CT rlTTfT^T TTtJt

workers employed i» the place ©f Fesi-
donco ©f his ©f hef employer;
(©) Employee. Aft employee ©f a» e mploy e r
who is e mployed » a business ©f other
capacity el his employer, including a»y
a»d ah business units aftd agencies owned
and or operated by the e mploy e r.

Statutory Authority G.S. 95- J 27; 95- 136(g).

SECTION .0200 - ORGANIZATION

.0201 DIV ISION: GENERAL (REPEALED)
.0202 STANDARDS AND INSPECTIONS

SECTION (REPEALED)
.0203 EDUCATION AND TRAINING

SECTION (REPEALED)
.0204 CONSULTATIVE SERVICES SECTION

(REPEALED)
.0205 SAFETY AND HEALTH ENGINEERING

SECTION (REPEALED)
.0206 ADVISORY COUNCIL (REPEALED)
.0207 REVIEW BOARD (REPEALED)

Statutory Authority G.S. 95-126;
134; 95-136; 95-147.

95-133; 95-

SUBCHAPTER 7B - OCCUPATIONAL

SAFETY AND HEALTH ACT OPERATIONAL

PROCEDURES

SECTION .0100 - INSPECTIONS: CITATIONS
AND PROPOSED PENALTIES

.0101 PI RPOSE AND SCOPE

The North Carolina Occupational Safety and
Health Act of 1973 (G.S. 95-136 et seq.) re-
quires, in part, that every employer covered
under the act furnish to his employees em-
ployment and a place of employment which

NORTH CAROLINA REGISTER

1079

■HI

PROPOSED RULES

are free from recognized hazards that are caus-
ing or arc likely to cause death or serious phy-
sical harm to his employees. The act also
requires that employers comply with occupa-
tional safety and health standards promulgated
under the act, and that employees comply with
standards, rules, regulations and orders issued
under the act which are applicable to their own
actions and conduct. The act authorizes the
Department of Labor to conduct inspections,
and to issue citations and proposed penalties
for alleged violations. The act, under G.S.
95-149, fby also authorizes and empowers the
commissioner to enter into contracts with the
Department of Public Health or any other
state officer or state agency or state instru-
mentality, or any municipality, county, or
other political subdivision of the state, for the
enforcement, administration and any other
application of the provisions of this article.
The act contains provisions for adjudication
of violations, periods prescribed for the abate-
ment of violations, and proposed penalties by
the Occupational Safety and Health Review
Commission, if contested by an employer or
bv an employee or authorized representative
of employees, and for judicial review. The
purpose of this Section is to prescribe rules and
to set forth general policies for enforcement of
the inspection, citation, and proposed penalty
provisions of the act. In situations where this
Section sets forth general enforcement policies
rather than substantive or procedural rules,
such policies may be modified in specific cir-
cumstances where the commissioner or his de-
signee determines that an alternative course of
action would better serve the objectives of the
act.

Statutory Authority G.S. 95-136.

.0103 SECURITY CLEARANCE

fto Safety officers ©f tbe Department ©f fca-
b©F a*e authoriz e d to enter without delay a©4
at- reasonabl e times a©y- factory, plant, est ah
lishment, construction SFtor ©f other area,
workplace ©f environment where work b» ©eF-
form e d by a© employe e ©f a© employer: to m-
spect a©4 investigate during regular working
hours a©4 at- other reasonable times. a©4
within reasonable limits a©4 m a reasonabl e
mann e r. a«y such place ©f- employment, a©4
a© pertinent conditions, structures, machines,
apparatus, devices, equipment a©4 materials
therein: to question privately a©y employer,
owner, operator, agent ©f employee: a©4 to
review records r e quir e d by- tbe aet a©4 r e gu
lations published m tbb- Chapt e r, a©4 other

records which are directly relat e d to the ©ap-
pose ©f tbe inspection. T-be commissioner is
authorized to enter ifito contracts witb tb©
Department ©f Public H e alth ©f a©y other
^4ato offic e ©f state agency ©f state mstrumon
tality, ©f af¥r municipality, county, ©f other
political subdivision ©I tfee state, fof the e©-
forcoment, administration a©4 afty other ap-
plication ©f- the provisions ©f tb©- article.

Statutory Authority G.S. 95-136.

.0106 ADVANCE NOTICE OF INSPECTIONS

to} T-be a©t provides m &Sr 95 139 that a©y
person who giv e s advance notice el a©¥ m-
spection to be conducted under the a©© with
©to authority from the commissioner ©f bhs-
designees, shall, upon conviction, be punished
by f4©© ©£ ©to more than ©Be thousand dollars
($1,000) ©f by imprisonment £©f ©e+ more
tba© si* months ©f by- both.

Statutory Authority G.S. 95-/36.

.0109 TRADE SECRETS

(a) GtSt 05 152 ©£ tfe© aet provid e s: ±AH m-
fonnation reported to ©f otherwise obtained
by the commissioner ©f ©fs- representative i©
connection with a©y inspection ©f proceedmg
und e r t©FS- aet which contains ©f ' ■ ■ . Inch might
reveal a trad e secret referred to » Section 1905
©f T©4© 4-8 ©f &e United States Cod e &h&b be
considered confidential f©F tbe purpose ©f tbat
section, exc e pt tbat- such information may be
disclosed to other officers ©f employees con
cemed vwtb carrying ©to tbi* aet ©f when Fele-
vant m a©y proceedmg under this a©© 4© aF©-
such proceeding tb© commissioner, the board,
©f the court shall issue such ord e rs as F©©y be
appropnat e to protect tb© confidentiality ©f
trad e secrets." G.S. 95-152 of the act is con-
sidered a statute within the meaning of section
552(b)(3) of Title 5 of the United Spates Code,
which exempts from the disclosure require-
ments matters that are "specifically exempted
from disclosure by statute."

Statutory Authority G.S. 95-152.

.0111 COMPLAINTS BV EMPLOYEES
(REPEALED)

Statutory Authority G.S. 95- J 30.

.01 12 INSPECTION NOT WARRANTED:
INFORMAL REVIEW

(a) If the director determines that an in-
spection is not warranted because there are no
reasonable grounds to believe that a violation

1080

NORTH CAROLINA REGISTER

PROPOSED RULES

or danger exists with respect to a complaint
under Rule .0111 trf this Section, G.S.
95- 136(d), he shall notify the complaining
party in writing of such determination. The
complaining party may obtain review of such
determination by submitting a written state-
ment of position with the commissioner and,
at the same time, providing the employer with
a copy of such statement by certified mail.
The employer may submit an opposing written
statement of position with the commissioner,
and at the same time provide the complaining
party with a copy of such statement by certi-
fied mail. Upon the request of the complain-
ing party or the employer, the commissioner,
at his discretion, may hold an informal con-
ference in which the complaining party and the
employer may orally present their views. After
considering all written and oral views pre-
sented, the commissioner shall affirm, modify,
or reverse the determination of the director and
furnish the complaining party and the em-
ployer a written notification of his decision and
the reasons therefor. The decision of the
commissioner shall be final and not subject to
further review.

(b) If the director determines that an in-
spection is not warranted because the require-
ments of £-t4e .011 1(a) ef this Section CIS.
95- 136(d) have not been met, he shall notify
the complaining party in writing of such de-
termination. Such determination shall be
without prejudice to the filing of a new com-
plaint meeting the requirements of Rule

0111(a) ef this Section. G.S. 95- 136(d).

Statutory Authority G.S. 95-133.

.01 14 CITATIONS: NOTICES OF
DE MINIMIS VIOLATIONS

(c) If a citation or notice of de minimis vio-
lations is issued for a violation alleged in a re-
quest for inspection under Rule .01 1 1(a) ef tb+*
Section G.S. 95-136 (d)( 1) or a notification of
violation under £U*le .01 1 1(c) »f this Section,
G.S. 95-136 (d)(2), a copy of the citation or
notice of de rninimis violations shall also be
sent to the employee or representative of em-
ployees who made such request or notification.

(d) After an inspection, if the director deter-
mines that a citation is not warranted with re-
spect to a danger or violation alleged to exist
in a request for inspection under R.ule .01 1 l(u)
*4 this Section G.S. 95-136 (d)(1) or a notifi-
cation of violation under Rul e .01 1 1(c) ef th+*
S e ction, G.S. 95-136 (d)(2). the informal re-
view procedures presenbed in Rule .01 12(a) of
this Section shall be applicable. After consid-

ering all views presented, the commissioner
shall affirm the determination of the director,
order a reinspection, or issue a citation if he
believes that the inspection disclosed a vio-
lation. The commissioner shall furnish the
complaining party and the employer with
written notification of his determination and
the reasons therefor. The determination of the
commissioner shall be final and not subject to
review.

Statutory Authority G.S. 95-137.

.0116 PROPOSED PENALTIES

(a) After, or concurrent with, the issuance
of a citation, and within a reasonable time after
the termination of the inspection, the director
shall notify the employer by certified mail or
by personal service by the safety officer of the
proposed penalty under G.S. 95 133 G.S. 95-
138 of the act, or that no penalty is being pro-
posed. Any notice of proposed penalty shall
state that the proposed penalty shall be
deemed to be the final order of the review
board and not subject to review by any court
or agency unless, within 15 working days from
the date of receipt of such notice, the employer
notifies the director in writing that he intends
to contest the citation or the modification of
proposed penalty before the review board.

Statutory Authority G.S. 95-138.

.0119 FAILURE TO CORRECT A CITED
VIOLATION (REPEALED)

Statutory Authority G.S. 95-137.

SECTION .0200 - STATE PLANS FOR THE

DEVELOPMENT AND ENFORCEMENT OF

STATE STANDARDS

.0201 DESCRIPTION OF THE PLAN

(b} The plan includes proposed draft legio
lation U> be considered by the North Carolina
Gen e ral Assembly during ite 1973 session.
Such legislation is designed te implement ma-
jef portions ef the plan aft4 &» bring it- i»te-
conformity with the requirem e nts fof develop
ment ae4 enforcement &f stat e standards.

fe) Lend e r this legislation, aU occupational
saf e ty a«4 health standards a»4 amendments
th e r e to which hav e b ee n promulgated by the
Secretary &f labor, except thos e found m parts
41^ 4^4r WWt «*i W# ef T-ttle 29 ef the
Code ©f Federal Regulations (ship r e pairing,
shipbuilding, shiphr e aking, a«4 longshoring)
w+H be adopted upon ratification ef the pro

NORTH CAROLINA REGISTER

10S1

PROPOSED RULES

posed legislation. Inlorcemcnt to such stand
atos w+fi take place 044 days thereafter.

(4) 4-be legislation wiH gtve the D e partment
to I abor tofi authority to administer a«4 e»-
forc e all laws, rul e s a«4 01 dorr , protecting em-
ploy ee safety an4 health » all plac e s tof
employment w* the state; 1+ ab-e- proposes to
bring the plan mto conformity m procedures
tof providing prompt afto effective standards
tof the protection to employees against new
afto unforeseen hazard '. afto tof furnishing in-
formation to employees »» hazards, pree
autions, symptoms, afto emergency treatment;
afto procedure ' ! fto variances.

(-to 44+e propos e d legislation w+fi insure em-
ploy e r and- employee representatives a» ef»-
portunitv to accompany inspectors afto to ealf
attention to possible violations before, during,
afto after inspections; protection &f employees
against discharge e* discrimination to terms
afto conditions el cmplovmcito notice to em-
ployoes to their protections afto obligations;
adequate safeguards to protect trade secret o;
prompt notice to employers a«4 employees to
alleged violations to standards afto abatement
requirements; e ffective sanctions against em-
ployers: afto employer's rights to review »f al-
leged violations, abatement periods, afto
proposed penalti e s with opportunity tof em-
ployee pailicipation m the review proceedings.

(£} 4-be plan ato* provides tof the develop
inent to a program to encourage voluntary
compliance by- employers . afto employees.

fg* 44*e plan includes a statement to toe
Governor's support tof toe proposed legis
lation afto a statement to legal opinion that- ft

irill mflfll t l-i . t *-■ » . -l i i ■ t. » «-. t . n-i ^ . - , 1 1 t I-. , ■ I [■■.•lin'ifi.ifTil
"111 rTTCTT 1 1 IV r^^cTTTTT^TrTTTTTT' rTT 1 1 IV T. T ^T Lll'U.lIl'111.11

Safety afto 1 Iealth Aet ef 1970, a«4 is consist
eto with the Constitution afto laws to North
Carolina. 44fe plan seto fcfto goals afto provides
a tim e table tof bringing it mto ftol conformity
with part 1002 upon enactment to the pro
posed legislation by the state legislature.

fb} 44*r> North Carolina plan includ e s the
following documents , as to the date to ap-
proval:

(4-} 44+e plan description document with

appendixes;
(-24 Telegram from the Governor of- North
Carolina. James to. 1 Iolshous e r, J+tt es-
pressing hf* toll support tof the Ocou
pational Safety afto 1 I e alth Aet ef
North Carolina afto hfs- anticipation of
to> passage during the 107 J session to
the North Carolina General Assembly;
(-3} I etter from W-- C-- Creel, Commissioner,
North Carolina Department of I abor,
to Ato Thomas C— Brown, Director,

I 'cderal ami State Operations, clarifying
several issu e s raised during the review
process;
f-ty Also available fof inspection afto copy

■ rt J » luitK iV^^j n 1 ■ ■ n iin/'ii m i-^«i i f i i ;« I I V-. ■■-» iItli
IT I C, * I 1111 1 1 1\_ I ' I CX 1 1 UUV TJI I IV. I II " tTTTT I .^J tTTW

public comments received during the
review proc e ss.

Statutory Authority G.S. 95-154.

.0203 DEVELOPMENTAL SCHEDULE
(REPEALED)

Statutory Authority G.S. 95-154.

SECTION .0300 - RECORDING AND

REPORTING OCCUPATIONAL INJURIES

AND ILLNESSES

.0309 FALSIFICATION OR FAILL'RE

TO KEEP RECORDS OR REPORTS

to) Section G.S. 05 1J9 ef the at+ provides
that: "Whoever knowingly makes afty- fals e
statement, r e presentation, ef certification to
asvf application, r e cord, report, plan ef other
document fifed of required to be maintained
pursuant to thfs article &hafi be guilty ef a
misdemeanor aft4 upon conviction thereof,
shall be punished by- a ftoe tof Hto more than
ton- thousand dollars ($10.1)00), e* W impri
sonm e nt, fto set more than si* months, e*
both."

Statutory Authority G.S. 95-143.

SECTION .0500 - RULES OF PROCEDURE

FOR PROMULGATING: MODIFYING: OR

REVOKING OCCUPATIONAL SAFETY OR

HEALTFI STANDARDS

.0502 PROMULGATION: MODIFICATION:
OR REVOCATION OF A STANDARD

(a} Afi occupational safety a«4 health stand
aft-k promulgated under the federal aet by- the
secretary ' , a«4 a»y modifications, revisions,
amendments «f revocations m accordanc e with
the authority conferred by the fed e ral aet ef
a»y other federal agency relating to safety aftd
health adopted by the secretary shall » afi fe-
spects be the rules »ft4 regulations ef the
Commission e r to I abor unless the commis
sioner shall mak e , promulgate and publish a»
alternative state standard.

fb) Any interested person may file with the
Commissioner of L abor of the North Carolina
Department of Labor, 4 West Udcnton Street,
Raleigh, North Carolina 27611, 2760 1. a writ-
ten petition for the adoption, promulgation,
modification, or revocation of a standard. The
petition should include, or be accompanied by,

1082

NORTH CAROLINA REGISTER

PROPOSED RULES

the proposed rule desired and a statement of
the reasons therefor and intended effect ther-
eof.

Statutory Authority G.S. 95-131 .

SECTION .0700 - STATE ADVISORY

COUNCIL ON OCCUPATIONAL SAFETY

AND HEALTH

.0705 ADVICE AND RECOMMENDATIONS

(REPEALED)
.0706 QUORUM (REPEALED)

Statutory Authority G.S. 95- J 34.

.0709 ASSISTANCE TO THE COUNCIL

(REPEALED)
.0710 MINUTES: TRANSCRIPT (REPEALED)
.071 1 SUBCOMMITTEES AND SUBGROUPS

(REPEALED)

Statutory Authority G.S. 95-134.

SECTION .0900 - PUBLIC AGENCY OSHA
PROGRAMS

.0904 AGENCY RESPONSIBILITIES

(a) It shall be the responsibility of each ad-
ministrative department, commission, board,
division or other agency of the state and of
counties, cities, towns and subdivisions of go-
vernment to establish and maintain an effective
and comprehensive occupational safety and
health program which is consistent with the
standards and regulations promulgated by this
act. The head of each agency shall comply
with the requirements of G.S. 95-148 and in
addition shall:

( 1 ) appoint a qualified person to develop and
be responsible for his agency's safety pro-
gram;

(2) develop a safety plan to include a pro-
gram of self administration of voluntary
compliance with OSHA standards in co-
operation with the North Carolina De-
partment of Labor.

(3) provide s safe *h4 healthful places afrd
conditions el employment consistent with
the standards a«4 regulations required by

lUn . ■ Q* -

UTTC UUl,

(4} acquir e , maintain a»4 require the «se el
safety equipment, personal protective
equipment a»4 d e vic e s reasonably neces
sary te protect employees;

(-$-) consult with, afrd- encourage employees
te cooperate » achieving safe a»4 health
f-el working conditions;

( f~.\ I - .i.-n-t fi ■ I .is-* until «■■»■' ~> fl 1 C I > f ; i I 1 ,

I \) J i\Wl? LlUU'Ll Li 1.1 1 C I WUITJJ ^TT UJL1 l

accidents afrd- illness e s fof propor e valu
ation a«4 corrective action;
f?) consult with the commissioner concern
»g the adequacy el the form afrd cont e nt
el records kept- pursuant to this Section;
£8} malco a» annual roport (by- April) te the
commissioner with respect te occupa
tional accidents a»d- injuries afrd the
agency's program und e r thts Section.
The annual report required by G.S. 95- 148(b)
shall be made to the commissioner by April
of each year.
fh) ^f-he North Carolina Commissioner el
Labor shall transmit annually te the Governor
afrd the G e n e ral Assembly a roport el the ac-
tivities el the state agencies afrd instrumental!
ties under this Section. H the commissioner
ha* r e ason te behovo that afry local govern

»->-l . nit i-ir, v , ii- 1 i t>-v j~t t- r. i-s~i ,~m . m , \ 1 'mil ■ ■ aanflll l-LJ. t f t M
I J IV. III IM l^ i,I U.1 1 1 \..f i pTTTT^rTTTTT Ul (-U IT U. C-,*- 1 1U ¥ U 1 LIIU

state is ineffective, he shall, aftep unsuccessfully
seeking by- negotiations te abate such failure,
m dud e this ift his annual roport te the Govor
i+ef a»d the General Assembly, together with
the reasons th e refor, a«4 may recommend leg-
islation intended te correct such condition.

fa) ^Pbe commission e r shall hav e access te
the records a»d reports kept a»4 filed- by state
agencies a»d instrumentalities pursuant te this
Soction unless such records sta4 r e ports afe Fe-
quired te be kept socret in- the interest el »a-
tional defense, i» which ease the commissioner
shall have access te such information as wiH
fret jeopardis e national dofonso.

(4) Phe commissioner wiU fret- impose eivtl
e* criminal ponaltios against afry stat e ag e ncy
e* political subdivision fe* violations described
a«4 covered by this aetr

(e} Employe e s el a»y agency ef department
covered under this Section a*e affordod the
same rights afrd prot e ctions as granted ena-
ployoos » the private sector.

Statutory Authority G.S. 95- J 48.

SECTION .1000 - DISCLOSURE AND
PUBLICITY

.1003 RULES CONCERNING OSHA ACCESS
TO EMPLOYEE MEDICAL RECORDS

(») Effective Date. This Section shall be-
como effective eft August 2+7 1980.

Statutory Authority G.S. 95-129; 95-136(g).

SUBCHAPTER 7D - STANDARDS
INTERPRETATION

NOR TH CAROLINA REGIS TER

10S3

PROPOSED RULES

SFXTION .0400 - OCCUPATIONAL HEALTH
AND ENVIRONMENTAL CONTROL

.0408 LEAD

(b) NC-OSHA has adopted the new lead
standard in the form it was published in the
November 14, 1978 issue of the Federal Reg-
ister. The effective date of the standard was
February 1, 1979, with the various other re-
quirements becoming effective within a period
of time, as specified in the standard, after this
February 1 effective date.

Several administrative postponements si the
effective date were grunted h* February te al-
lew- the federal appellate courts te consider
applications te judicially review the Hew- ctan
ditrd. Th e s e applications fof judicial review
hav e come from botli industry aft4 labor e*-
ganizations aftd wer e filed m different district
courts ef appeals.

Q» March 4r 44*4^ the Unit e d Stat e s Court
ef Appeals fef the District e£ Columbia Feft-
dered a decision te partially stay the standard
by deferring thos e requirements that- involve
considerable expense te the employer whil e
allowing thos e requirements that w-th provide
protoction te employees te ee iftte e ff e ct . This
will allow the court te review the merits af the
standard during the September F ) 7H sittmg el-
the Appeals Court without causing undue
hardship te employers a»4 without subjecting
employees te health risks associated with e#-
posure te lead.

Statutory Authority G.S. 95-131 ,

SECTION .1200 - MACHINERY AND
MACHINE GUARDING

.1205 ACCEPTABLE GUARDING FOR

CIRCULAR MEAT CUTTING SAWS

(&) '44ie referenced standard requires point
ef operation guarding ee machines which e*-
poso ae employee te injury. Because th e re is
ee standard available which gives the specific
d e tails far- guard requirements fe* meat saws,
there has resulted much confusion as te what
is acceptable guarding.

It- is understood tbrtt the appropriate organ
l/.ations ift the m e at industry ae* pr e s e ntly de-
veloping standards. Until th e s e are available.
the policy h* fe) ef th+s Rul e shall be followed.

Statutory Authority G.S. 95-136(g).

SECTION .1900 - INSPECTION AND
ENFORCEMENT AUTHORITY

.1904 STANDARDS: OPERATIONAL

PROCEDURE: REQUIREMENTS
OF OSHANC

(a) General Statute 95 129(1) states, "Fach
employer shall furnish te eaeh ef his employ
ees conditions ef- employment aa4 a place ef
employment free from recognized hazards that
a*e causing ef ate likely te cause d e ath ef seri-
aes injury a* s e rious physical hann te his ere-
ployoos."

Statutory Authority G.S. 95- 1 36(g).

CHAPTER 12 - WAGE AND HOUR

SECTION .0400 - YOUTH EMPLOYMENT

.0404 WAIVER

(a) When a proper application for a waiver
of any youth employment provision is re-
ceived, if the proposed employment is in the
best interest of the minor youth and his health
and safety will not be adversely affected, the
Director of the Wage and Hour Division shall
recommend that the Chief Deputy Commis-
sioner of the Department of Labor issue a
waiver for the minor, youth Absent a contrary
determination by the Chief Deputy Commis-
sioner on the hardship to the minor youth or
the effect on the health and safety of the minor.
youth, the Chief Deputy Commissioner shall
issue the waiver for the minor, youth.

(b) Objection te a recommendation by the
Director a* a refusal te issue a waiver by the
Chief Deputy Commissioner may be made by
any affected person by filing a written ef e?al
exception with the Director, Wage aft4 Hour
Division, North Carolina Department el fea-
befr 444 Br North Street, Raleigh, North Gst-
rolina 27601. -Ne particular form is proscribed
fof the exception. 44%e exception should clearly
indicate the reasons the individual objecting
contends the recommendation ef refusal te is-
sue is ift error. 44*e exception may request a
hearing pursuant te 44 NCAC Subchapter 444r
Any person adversely affected by a decision of
the Director or Chief Deputy Commissioner
may appeal the decision by filing a petition for
a hearing with the Office of Administrative
Hearings pursuant to the procedures contained
in Article 3 of G_S. 150B.

Statutory Authority G.S. 95-25.5; 95-25.17.

.0405 REVOCATION

(a) The Director of the Wage and Hour Di-
vision or his designated representative shall re-
view the issuance of all youth employment
certificates by county social services directors.
If upon review, or because of any other cir-

1084

NORTH CAROLINA REGISTER

PROPOSED RULES

cumstance, the Director determines a certif-
icate has been issued in violation of the youth
employment provisions or the rules and regu-
lations promulgated thereunder, he shall notify
the minor, youth the county social service di-
rector and the employer of the minor youth
that the certificate is being revoked and shall
specify the reasons for the revocation.

(b) If the certificate is revoked, the employer
shall cease to employ the minor youth and
shall return the certificate to the Director of the
Wage and Hour Division or to the county so-
cial service director, who shall forward it to the
Wage and Hour Director.

(c) 44*e employer ©f minor may object t© the
revocation by filing a writt e n ©f ©Fa4 e xc e ption
with the Director, Wage *ft4 I lour Division,
North Carolina Department ©f Labor, +44 14
North Stre e t, Ral e igh, North Curolma 276 1 )1.
■No particular form » prescribed fof the oxcep
tion. 44*e exception should clearly indicate the
reasons wby- the individual objecting contends
the revocation » h* error. 44te e xc e ption may
r e quest a hearing pursuant t© 44 NCAC Sub
chapter 444- liven though aft exception has
been taken ©f a hearing requested, the cert if
icate must be returned aft4 the employment
must ceas e pursuant t© Paragraph 44 ©f 44*
Rule. The employer or youth may object to
the revocation by tiling a petition for a hearing
with the Office of Administrative 1 learings
pursuant to the procedures contained in Article
3 of Chapter 150B of the General Statutes.

Even if a petition for a hearing is filed, the
certificate must be returned and the employ-
ment must cease pursuant to Paragraph (b) of
the Rule.

Statutory Authority G.S. 95-25.5; 95-25.17.

SECTION .0500 -JURISDICTION AND
EXEMPTIONS

.0502 COUNTING EMPLOYEES

(a) For the purpose of establishing jurisdic-
tion pursuant to 4fc 95 25.M(a)(6), G.S.
95-25. 14(b)(5), a proprietor or owner who
works in and about his establishment enter-
prise is not counted as a person employed in
the establishment, enterprise.

(d) Part-time employees and family members
who work in an e stablishment enterprise will
be counted in determining the number of per-
sons employed for jurisdictional purposes.

(e) The number of employees at an estab
lishment enterprise who work during the
course of a workweek, not the number of em-
ployees working on any particular day, deter-

mines the wage and hour jurisdiction for any
workweek.

Statutory Authority G.S. 95-25.14; 95-25.19.

SECTION .0700 - CIVIL MONEY PENALTIES

.0703 EXCEPTIONS TO CIVIL PENALTY

fa) 44*e employer must f4e a W ' ritt e n e xcop
4©» t© the e44 penalty determination within
44 4ays after receipt ©£ the notification ©f the
e44 penalty ©f the determination v4J4 becomo
final

fb4 44te exception t© 4te determination muot
be f4e4 w44 the Director, Wage a»4 Hour
Division, North Carolina Department ©f fca-
befr 444 &r North Street, Raleigh, North Ga-
k4h» 27601.

(e) -N4 particular form 4 prescribed £©f the
exception. 1 Iowovor, the exception should be
typed ©f clearly written, must be directed t©
the issue ©f the violations a»4 t©e assessm e nt,
a©4 must stato the reasons w»y- the employ e r
contends the determination 4 i» error.

(44 U a» e xc e ption 4 f4e4 within 44 days ©f-
receiving notification ©£ the e44 penalty, the
employer 4 entitled t© a» administrative hoar
i»g pursuant t© Article 4 ©f Chapter 150 A.

An employer may take an exception to a civil
penalty determination by filing a petition for a
hearing with the Office of Administrative
I learings pursuant to the procedures contained
in .Article 3 of Chapter 150B of the General
Statutes. The exception must be taken within
1 5 days after the employers receipt of notifica-
tion of the civil penalty or the determination
will become final.

Statutory Authority G.S. 95-25.19; 95-25.23.

CHAPTER 13 - BOILER AND PRESSURE
VESSEL

SECTION .0300 - ENFORCEMENT OF
STANDARDS

.0301 PROCEDURE FOR ISSUANCE
OF INSPECTION CERTIFICATE

(i) Upon appeal, the commissioner, ©f bis
designee, shall conduct a hearing shall be con-
ducted pursuant to Article 3 of G.S. Chapter
1 50 A 150B and shall modify, affirm, or revoke
the decision ift Paragraph (j4 ©f 44s Rule, of
the director.

(j) The decision of the commissioner shall
constitute a fmal agency decision subject to
judicial review pursuant to .Article 4 of G.S.
Chapter 4©0Ar L50B

NORTH CAROLINA REGISTER

1085

PROPOSED RULES

Statutory Authority G.S. 95-69.11; 95-69.16.

CHAPTER 14 - APPRENTICESHIP AND
TRAINING DIVISION

SECTION .0500 - DE-REGISTRATION OR
WITHDRAWAL

.0504 DE-REGISTRATION OR WITHDRAWAL

(b) If the sponsor desires a hearing regarding
the de-registration of or withdrawal of ap-
proval from the sponsor's apprenticeship or
OJT program, it shall mak e a formal request
file a petition for a hearing as provided in
Chapter 44QA 150B of the North Carolina
General Statutes as4 44 NCAC 4-Br and the
hearing process shall be conducted as therein
provided, except Aat- the commissioner shall
designat e a homing officer within 444 days e(
receipt ef tbe formal requ e st.

Statutory Authority G.S. 94-1; 94-2; 94-4.

.0505 DE-REGISTRATION OR WITHDRAWAL
FOR INACTIVITY

(d) If the sponsor desires a hearing regarding
the de-registration of or withdrawal of ap-
proval from the sponsor's apprenticeship or
OJT program, it shall make a formal requ e st
file a petition for a hearing as provided in
Chapter 440A 15QB of the North Carolina
General Statutes a»4 44 NCAC 4-Br and the
hearing process shall be conducted as therein
provided, except t4*at- t4*e commissioner shall
designat e a hearing officer within 444 days »f
receipt &i t4*e formal request.

Statutory Authority G.S. 94-1; 94-2; 94-4.

SECTION .0600 - COMPLAINTS

.0603 COMPLAINT PROCEDURE

(d) A party may appeal the decision of the
director in accordance with Chapter 1 50A
150B of the North Carolina General Statutes
aft4 44 NCAC 443 within 30 days of the ap-
pealing party's receipt of the decision.

Statutory Authority G.S. 94-1; 94-2; 94-4.

SECTION .0800 - EQUAL OPPORTUNITY IN
APPRENTICESHIP

.0813 SANCTIONS

(c) If the sponsor desires a hearing, it shall
make a formal request file a petition for a
hearing as provided in Chapter 150 A 150R of
the North Carolina General Statutes a»4 44
NCAC 443t and the hearing process shall be
conducted as therein provided, except t4wt t+x»

commissioner shall designate a hearing officor
&f officers within 444 day* ef receipt e( tke for-
mal request.

Statutory Authority G.S. 94-1; 94-2; 94-4.

.0815 COMPLAINT PROCEDURE

(g) A party may appeal the decision of the
director, or a sponsor may appeal the determi-
nation of the director that the private review
body will not adequately enforce the rules of
this Section, in accordance with Chapter 150B
of the North Carolina General Statutes ae4 44
NCAC 4-& within 30 days of the appealing
party's receipt of the decision.

Statutory Authority G.S. 94-1; 94-2; 94-4.

TITLE 14A - DEPARTMENT OF CRIME
CONTROL AND PUBLIC SAFETY

1 V otice is hereby given in accordance with G.S.
1 SOB- 12 that the Department of Crime Control
and Public Safety intends to amend regulations
cited as 14 A NCAC I A .0002 - .0004; 14 A
NCAC IB .0201. .0308, .0404. .0501 - .0502;
14 A NCAC ID .0401 - .0402; and repeal regu-
lations cited as 14 A NCAC IB .0503 - .0523;
14A NCAC IC .0102; 14A NCAC ID .0101 -
.0103, .0201 - .0202, .0301 - .0304, .0403 -
.0404; 14A NCAC 3 .0101 - .0104, .0201 -

.0202, .0301
.0502, .0601 -

.0306,
.0611.

.0401 - .0405, .0501 -

1 he proposed effective date of this action is
July 1, 198S.

1 he public hearing will be conducted at 10:00
a.m. on April 14, 1988 at Library, Second
Floor, Archdale Building. 512 N. Salisbury
Street, Raleigh, NC.

omment Procedures: Any interested person
may present comments relevant to the action
proposed at the public hearing either in written
or oral form. Written statements not presented
at the public hearing may be directed prior to
April 14, 1988 to the Administrative Procedures
Coordinator, Second Floor, Archdale Building,
512 N. Salisbun' Street, Raleigh, NC or P.O.
Box 27687, Raleigh, NC 27611.

CHAPTER 1 - DEPARTMENTAL RULES

SUBCHAPTER I A - GENERAL PROVISIONS

.0002 PURPOSE OF DEPARTMENT

1086

NORTH CAROLINA REGISTER

PROPOSED RULES

(8) insure the preparation, coordination, and
currency of military and eml pr e paredness
emergency management plans and the ef-
fective conduct of emergency operations
by all participating agencies to sustain life
and prevent, minimize, or remedy injury
to persons and damage to property re-
sulting from disasters caused by enemy
attack or other hostile actions or from di-
sasters due to natural or man-made
causes;

( 14) operate a deferred prosecution, com-
munity service work program, and victims
assistance and compensation program;

(15) operate a central repository for infor-
mation regarding missing persons;

( 16) provide grants for community penalties
programs to provide local sentencing al-
ternatives to prison;

( 17) provide police and fire protection of
Camp Butner and the Town of Butner;

( M) ( 18) perform such other functions as
may be assigned by the Governor.

Statutory Authority G.S. 15B-3; 18B-500;
122C-40S; 143B-10; I43B-474; 143B-475;
143B-475.I; 143B-476; I43B-477; 143B-480.I;
143B-490; I43B-495; 143B-500.

.0003 ORGANIZATION

The Department of Crime Control and Pub-
lic Safety is headed by the Secretary of the
Department ef Crime Control and Public Saf-
ety. f» addition, th e r e is the assistant secret ary
an4 the assistant s e cr e tary fef public safety.
T4*e office ef the secretary » organised *«te-
administrative services, information services,
state emergency communications a»4 special
proj e cts s e ction, an4 the administrative assist
afttr The department consists of the Division
of State Highway Patrol, the Division of Al-
cohol Law Enforcement, the Division of
Crime Prevention, the Division of National
Guard, the Division of Emergency Manage-
ment, the Division of Civil Air Patrol, the Di-
vision of Butner Public Safety, the Division of
Victim and Justice Services, and the division
ef the Governor's Crime Commission.

Statutory Authority G.S. 18B-500; I22C-408;
143B-10; 143B-475; 143B-475.1; 143B-476.

.0004 SECRETARY OF CRIME CONTROL
AND PUBLIC SAFETY

(Q ^ Lfli] a ■*■*«"■ it'll*! • Q I t l-i. I I 1 i.-lll-t t~r~. .int Hi I *—i 11 -L . 1

CLf I 1IV L'VlinUl T r*T 1 1 IP 1_7 Ul'LIl Lllinil CTT r?TB 1IC

Control etft4 Public Safety shall have such
power ;. aee duties delegated to hi» by- the
Governor ef conf e rred en- hwe b¥ the Consti

tution ef laws ef the state. In the event of an
emergency which requires two or more state
agencies to be involved, the secretary is desig-
nated as the official who is empowered to co-
ordinate the state's response to the emergency.
The secretary may designate any agency as a
lead agency to be in charge of the state's re-
sponse.

(b) 4T*e soorotary, through appropriate units
ef the D e partment ef Crim e Control aft4
Public Safety, shall, at- the r e quest ef the Gov
ernor, provide assistance te the state a«4 local
law enforcement agencies, district attorneys,
judges, em4 the Department ef Correction
when called upon by- hh» a*%4 se dir e cted. The
secretary may delegate any authority assigned
to him to any member of his department.

fe} J» the ev e nt that- the Governor, m the
exercise ef hi* constitutional aft4 statutory fe-
sponsibilities, shall deem h n e cessary te utilLio
the services ef more than efte subunit ef state
government te provide protection te- the poo
ele from natural ef man mado disasters ef
emergencies, including bet- ftet- limited te wars,
insurrection, riots, efv41 disturbances, ef aoci
dents, the secretary, under direction ef the
Governor, shall serve a* the chi e f coordinating
officer f-ef the state between the respective s«-
b units se utilised.

(44 (cj Notwithstanding any other provisions
of this Title or any rule of any division of the
Department of Crime Control and Public Saf-
ety, the Secretary may review any action or
failure to take action by any member of any
division and may hold such hearings and
gather such information in connection there-
with as he deems necessary for the proper
function of the department.

Statutory Authority G.S. 143B-10; 143-476.

SUBCHAPTER IB - RULEMAKING AND
ADMINISTRATIVE HEARINGS

SECTION .0200 - NOTICE OF RULEMAKING
HEARINGS

.0201 TIMING OF NOTICE

Upon a determination to hold a rulemaking
proceeding, either in response to a petition or
otherwise, the secretary will give at least 444 30
days notice to all interested persons of a public
hearing on the proposed rule.

Statutory Authority G.S. 1 SOB- 12.

SECTION .0300 - RULEMAKING HEARINGS

.0308 TEMPORARY RULES

NORTH CAROLINA REGISTER

1087

PROPOSED RULES

Whenever r e asons to' imminent p*»l to to*
public health, safety, e* welfare require tfe©
adoption ef a» emergency Ftoer Wjienever the
adoption of a temporary' rule is determined to
he necessary' and is allowed bv law, the Secre-
tary' of t6* Department to Cnme Control and
Public Safety will issue such notice, written,
telegraphic, telephonic, or other, and allow
such comments, oral or written as time per-
mits.

Statutory- Authority G.S. I SOB- 1 3.

SECTION .0400 - DECLARATORY RULINGS

.0404 RECORD OF DECISION

A record of all declaratory rulemaking pro-
ceedings will be maintained in the Office of the
Secretary" of toe Department e£ Crime Control
and Public Safety for as long as the ruling is in
effect and for five years thereafter. This record
will contain: the petition, the notice, all writ-
ten submissions filed in the request, whether
filed by the petitioner or any other person, and
a record or summary of oral presentations, if
any. Records of declaratory 7 rulemaking pro-
ceedings will be available for public inspection
during the regular office hours of the Depart-
ment of Crime Control and Public Safety.

Statutory Authority G.S. 1 SOB- 17.

SECTION .0500 - CONTESTED CASE

.0501 RIGHT TO HEARING

Wlienever the action of the Department of
Crime Control and Public Safety or any of its
divisions affects the rights, duties and privileges
of any party and the department is required by
the United States Constitution, the Constitu-
tion of North Carolina or any law to determine
such rights, duties and privileges after an op-
portunity for an adjudicatory hearing, a party
shall have a right to an administrative a con-
tested case hearing. These hearings shall not
include rulemaking hearings, declaratory rul-
ings, or award or denial of a scholarship or
grant.

Statutory Authority G.S. lS0B-2(2); 1S0B-22.

.0502 REQL EST FOR HEARING

(to Aw time a» individual believes be has a
right to ft hearing. bto to» Hto received notice
to '. lien ft right, toe individual may toe a formal
r e qu e st tof ft h e aring.

(fe^ Before a» individual may 61* a request.
h* must toto exhaust all reasonable efforts to
resolve to* issu e informally wito to* director

ef to* division concerned. This requirement
will b* satisfied 6y- decision to" to* director to
to* division concerned.

(g) Subsequent to such informal action, if
■toll dissatisfi e d, to* individual should submit
a request tor Secretary, Department to Crimo
Control afto Rtotoe Safety, R^Or Jto* 27687,
Raleigh, NtG. 2761 1, within -to day* af4*f re-
ceipt ef to* decision ef to* director to to* d+-
vision, w+to to* container to to* request
bearing to* notation: Rto REQUEST to^R-
ADMINISTRATIVE HEARING. ¥6to f*-
quest should contain to* following informa
tion:

(4-) name atto address to to* p e titioner.
(3) a concise statement to to* action taken

by to* division which is challenged,
(tJ) a concise statement to to* way- to which

to* petitioner has been aggrieved,
f-44. a clear a«4 specific statement to request
fof a hearing.
(4) Such request wiH b* acknowledged
promptly and, if deemed appropriat e , a hearing
w+H b* scheduled.

(a) Informal proceedings through the de-
partment grievance procedure or other adver-
sary' proceedings should be used prior to
seeking a contested case hearing.

(b) An individual who is dissatisfied with the
informal proceeding, may file a request for a
petition for a contested case hearing with the
Office of Administrative Hearings, Post Office
Drawer 11666, Raleigh, North Carolina 27604.

(c) A copy of the petition should be sent to
the Secretary' of Crime Control and Public
Safety at the address listed in these Rules.

(d) Contested case hearings shall be con-
ducted m accordance with Chapter 150B of the
General Statutes and the rules of the Office of
Administrative Hearings.

Statutory Authority G.S. I50B-23.

.0503 GRANTING OR DENYING HEARING

REQUESTS (REPEALED)
.0504 NOTICE OF HEARING (REPEALED)
.0505 AGENCY INITIATED PROCEEDING

(REPEALED)
.0506 WHO SHALL HEAR CONTESTED CASES

(REPEALED)
.0507 PETITION FOR INTERVENTION

(REPEALED)
.0508 TYPES OF INTERVENTION (REPEALED)

Statutory Authority G.S. J A- J, Rule 24:
USB- 10; 1S0B-2; 150B-23; 1S0B-32.

.0509 WRITTEN ANSWER (REPEALED)
.0510 VENUE (REPEALED)

I OSS

NORTH CAROLINA REGISTER

PROPOSED RULES

.051 1 DISCOYKRY (REPEALED)
.0512 PRE-HEARING CONFERENCE

(REPEALED)
.0513 SUBPOENAS (REPEALED)
.0514 CONSOLIDATION (REPEALED)
.0515 STIPULATIONS (REPEALED)
.0516 DISQUALIFICATION OF HEARING

OFFICERS (REPEALED)
.0517 FAILURE OF PARTY TO ATTEND

HEARING (REPEALED)
.0518 OATH (REPEALED)
.0519 CONDUCT OF HEARING (REPEALED)
.0520 PROPOSAL FOR DECISION

(REPEALED)
.0521 RECORD (REPEALED)
.0522 TRANSCRIPT (REPEALED)
.0523 FINAL DECISIONS IN

ADMINISTRATIVE HEARINGS

(REPEALED)

Statutory Authority G.S. 143B-10; I50B-24
through I50B-28; I50B-3I through 150B-34;
150B-37; 150B-43.

SUBCHAPTER 1C - STATE LAW

ENFORCEMENT ASSISTANCE DURING

LABOR DISPUTE

SECTION .0100 - APPLICATIONS FOR
ASSISTANCE

.0102 WHEN REQUEST FOR ASSISTANCE
WILL BE ACCEPTED (REPEALED)

Statutory Authority G.S. 153A-2I2;
160A-288.I.

SUBCHAPTER ID - GRIEVANCE
PROCEDURE

SECTION .0100 - GENERAL PROVISIONS IN

CASES NOT INVOLVING ALLEGED

DISCRIMINATION

.0101 PURPOSE (REPEALED)
.0102 DEFINITIONS (REPEALED)
.0103 POLICY (REPEALED)

Statutory Authority G.S. MSB- 10; 143B-475.

SECTION .0200 - INFORMAL PROCEDURE IN

CASES NOT INVOLVING ALLEGED

DISCRIMINATION

.0201 STEP ONE: DISCUSSION WITH

IMMEDIATE SUPERVISOR (REPEALED)

.0202 STEP TWO: DISCUSSION WITH
SUPERVISOR'S SUPERVISOR
(REPEALED)

SECTION .0300 - FORMAL PROCEDURE IN

CASES NOT INVOLVING ALLEGED

DISCRIMINATION

.0301 STEP ONE: FILING WRITTEN

GRIEVANCE WITH SUPERVISORS

(REPEALED)
.0302 STEP TWO: APPEAL TO DIVISION

DIRECTOR (REPEALED)
.0303 STEP THREE: APPEAL TO

DEPARTMENT SECRETARY (REPEALED)
.0304 STEP FOUR: APPEAL TO STATE

PERSONNEL COMMISSION (REPEALED)

Statutory Authority G.S. 143B-10; 143B-475.

SECTION .0400 - GRIEVANCE PROCEDURE
IN CASES INVOLVING APPLICANT

.0401 PURPOSE

The purpose of these Rules is to ¥» provide
a means of ensuring prompt, orderly, and fair
response to a legitimate employee grievance
arising out of a claim of discrimination, an
applicant for employment.

Statutory Authority G.S. MSB- 10; M3B-475.

.0402 GRIEVANCE

"Grievance" is a problem » a» omployco's
worlang conditions, circumstances &f relation
ships with other employees e* supervisors
which gives rise k» » legitimat e complaint by-
the employee * .

(a) Any applicant who believes he was
wrongly denied employment with the Depart-
ment of Crime Control and Public Safety shall
first contact either the director of the division
in which employment was sought or the Per-
sonnel Officer for the Department of Crime
Control and Public Safety at the department
address.

(b) If the matter cannot be resolved, then the
applicant may contact the secretary and seek
to informally resolve this matter.

(c) If the applicant is unsatisfied with the
decision of the secretary, he may contact the
Office of State Personnel, 1 16 West Jones
Street, Raleigh, NC 27611. Any appeal to the
Office of State Personnel must be received by
State Personnel within 30 days of the alleged
improper action.

Statutory Authority G.S. MSB- 10; M3B-475.

.0403 POLICY (REPEALED)
.0404 PROCEDURE (REPEALED)

Statutory} Authority G.S. 143B-/0; M3B-475.

Statutory Authority G.S. 143B-10; M3B-475.

NORTH CAROLINA REGISTER

10 89

PROPOSED RULES

CHAPTER 3 - I IKE COMMISSION

SECTION .0100 - PURPOSE AND
ORGANIZATION

.0101 DEFINITIONS (REPEALED)

.0102 PURPOSE (REPEALED)

.0103 ORGANIZATION (REPEALED)

.0104 ADDRESS (REPEALED)

Statutory Authority G.S. 143B-482: 143B-483.

SECTION .0200 - GRANT APPLICATION
SUBMISSION REQUIREMENTS

.0201 GRANT APPLICATION REQUIREMENTS

(REPEALED)
.0202 APPLICATION SUBMISSION

REQUIREMENTS (REPEALED)

Statutory Authority G.S. 143B-4S2; 143B-483.

SECTION .0300 - GENERAL GRANT
GUIDELINES

.0301 THE GRANT PERIOD (REPEALED)
.0302 PROGRESS REPORTS (REPEALED)
.0303 ALLOWABLE COSTS (REPEALED)
.0304 COST DETAILS (REPEALED)
.0305 NONPROFIT ORGANIZATIONS

(REPEALED)
.0306 COST ASSUMPTION PLANS

(REPEALED)

Statutory Authority G.S. 143B-482; I43B-4S3.

SECTION .0400 - GRANT APPLICATION
REVIEW PROCEDURES

.0401 ACKNOWLEDGEMENT OF RECEIPT OF

APPLICATION (REPEALED)
.0402 CONSISTENCY WITH PLANS

(REPEALED)
.0403 COMPLETE APPLICATIONS

(REPEALED)
.0404 APPLICATION MODIFICATIONS

(REPEALED)
.0405 FACTORS IN AWARDING GRANTS

(REPEALED)

Statutory Authority G.S. 143B-482; 143B-483.

SECTION .0500 - GRANT TERMINATION
AND APPEAL

.0501 GRANT TERMINATION (REPEALED)
.0502 APPEAL PROCESS (REPEALED)

Statutory Authority G.S. 143B-482: I43B-483.

SECTION .0600 - FIRE INVESTIGATOR
CERTIFICATION PROGRAM

.0601 PURPOSE (REPEALED)

.0602 FIRE INVESTIGATOR CERTIFICATION

BY REVIEW BOARD (REPEALED)
.0603 CERTIFICATION AS FIRE

INVESTIGATOR (REPEALED)
.0604 MINIMUM STANDARDS FOR

CERTIFICATION BY EXAMINATION

(REPEALED)
.0605 CERTIFICATION BY REVIEW

(REPEALED)
.0606 TESTING (REPEALED)
.0607 APPLICATIONS (REPEALED)
.0608 CERTIFICATES ISSUED

(REPEALED)
.0609 RECERT1FICATION (REPEALED)
.0610 SUSPENSION: REVOCATION OR

DENIAL OF CERTIFICATION

(REPEALED)
.061 1 APPEAL PROCESS (REPEALED)

Statutory Authority
I43B-485.

G.S. 143B-481 through

TITLE 15 - DEPARTMENT OF NATURAL

RESOURCES AND COMMUNITY

DEVELOPMENT

1 V otice is hereby given in accordance with G.S.
150B-12 that the N.C. Department of Natural
Resources and Community Development intends
to adopt regulations cited as 15 NCAC II .0001

- .0003.

1 he proposed effective date of this action is
July I, 1988.

1 he public hearing will be conducted at 10:00
a.m. on May 4, 1988 at Ground Floor Hearing,
Archdale Building, 512 N. Salisbury St., Ra-
leigh, AC.

(^ omment Procedures: Comments and state-
ments, both written and oral, may be presented
at the hearing. Written comments are encour-
aged and may be submitted to the Department
of NRCD, Dhision of Marine Fisheries, P.O.
Box 769. Morehead City, NC 28557. These
written comments must be received no later than
May 5, 1988.

CHAPTER 1 - DEPARTMENTAL RULES

SUBCHAPTER II - FEDERAL FUNDS:
TURTLE EXCLUDER DEVICES

.0001 SCOPE AND PURPOSE

(a) Effective May 1, 1988. the United States
Government will require the use of Turtle Ex-
cluder Devices (hereinafter referred to as

1090

NORTH CAROLINA REGISTER

PROPOSED RULES

TEDs) by all boats and vessels 25 feet or more
in length which trawl for shrimp in the Atlantic
Ocean off North Carolina. Such devices con-
sist of various combinations of net material,
steel bars and other items placed in front of the
tailbag of the trawl for the purpose of releasing
sea turtles from the trawl net prior to entering
the tailbag, thus excluding turtles from the ta-
ilbag. Acceptable designs of such devices are
certified as acceptable by the United States
Government.

(b) The North Carolina Department of Na-
tural Resources and Community Development
(hereinafter referred to as the Department) has
received a grant of seventy-three thousand two
hundred dollars ($73,200.00) from the U.S.
Department of Commerce (Contract Number
86-4631-003) for the purpose of aiding North
Carolina commercial shrimp fishermen in the
purchase of certified TEDs in time for use in
the 1988 brown shrimp season. Funds from
the grant will be provided during 1988 to
commercial fishermen who comply with the
standards set fourth in the Rules of this Sub-
chapter.

Statutory Authority G.S.
143B-277; I50B-13.

113-181; 113-226;

.0002 ELIGIBILITY STANDARDS

(a) Only vessels and boats measuring 25 feet
or more in overall length are eligible for this
program.

(b) Only vessels or boats which hold 1987
North Carolina resident commercial fishing
vessel licenses or are eligible to hold 1988
North Carolina resident commercial fishing
vessel Licenses are eligible for this program.

(c) Reimbursement will be made only upon
presentation of a certification form stating that
a certified TED (or TEDs) have been pur-
chased; including the original invoice for such
purchase. The Department will provide the
certification form.

Statutory Authority
143B-277; I50B-13.

G.S. 113-1S1; 113-226;

.0003 REQUIREMENTS TO RECEIVE
REIMBURSEMENT FOR TED
PURCHASE

(a) Funds will be reimbursed by the De-
partment only in the name of the owner of el-
igible vessels or boats.

(b) Funds will be reimbursed by the De-
partment on a "first-come", "first-served" basis
beginning no earlier than March 1, 1988.
Certification forms dated prior to March 1 ,

1988, will be rejected. Invoices submitted with
certification forms must also be dated March
1, 1988, or later.

(c) Funds will be available until the total
available seventy-three thousand two hundred
dollars ($73,200.00) is disbursed. No further
funds will be available. The Department will
publicly announce when all funds are ex-
pended.

(d) The maximum amount which any vessel
or boat can receive is five hundred dollars
($500.00).

(e) All recipients of funds under this program
must agree to provide data to the Department
on vessel performance with TEDs, fuel use,
shrimp catch and other information needed to
evaluate this program. Such data shall be
considered confidential as provided in G.S.
113-163.

Statutory Authority G.S. 113-163;
113-226; 143B-277; 1 SOB- 13.

11 3- IS I;

******************

1 V otice is hereby given in accordance with G.S.
1 SOB- 12 that the Environmental Management
Commission intends to adopt regulations cited
as 15NCAC2H .1101 - .1110.

1 he proposed effective date of this action is
October 1, 1988.

1 he public hearing will be conducted at 1 :30
p.m. on April 20, 1988 at Ground Floor Hear-
ing Room, Archdale Building, 512 North Salis-
bury Street, Raleigh, North Carolina.

omment Procedures: All persons interested
in this matter are invited to attend. Comments,
statements, data, and other information may be
submitted in writing prior to, during, or within
thirty (30) days after the hearing or may be
presented orally at the hearing. Oral statements
may be limited at the discretion of the hearing
officer. Submittal of written copies of oral
statements is encouraged.

CHAPTER 2 - ENVIRONMENTAL
MANAGEMENT

SUBCHAPTER 2H - PROCEDURES FOR
PERMITS: APPROVALS

SECTION .1 100 - BIOLOGICAL
LABORATORY CERTIFICATION

NORTH CAROLINA REGISTER

1091

PROPOSED RULES

.1101 IM KI'OSE

These Rules set forth the requirements for
certification of commercial, industrial, and
public laboratories to perform biological tox-
icity testing of water and wastewater as re-
quired for National Pollutant Discharge
Elimination System (NPDES) permits by G.S.
143-21 5.3(a)( 10) and Environmental Manage-
ment Commission Rules for Classifications
and Water Quality Standards Applicable to the
Surface Waters of North Carolina, found in
Subchapter 2B of this Chapter, Section .0200,
and Rules for Surface Water Monitoring, Re-
porting, found in Subchapter 2B of this
Chapter, Section .0500.

Statutory Authority G.S. 143-215.3(a)(l );
143-215.3(a)(10); 143-215.66.

.1102 SCOPE

These Rules apply to commercial, industrial,
or public laboratories which perform toxicity
testing of water or wastewater for persons
subject to any requirements for monitoring of
toxicity through direct measurement of the ef-
fects of a specific water or wastewater or
aquatic organisms in laboratory tests or
through field surveys.

Statutory Authority G.S. 143-21 5.3(a)( I );
143-215.3(a)(10); '143-215.66.

.1103 DEFINITIONS

The following terms as used in this Section
shall have the assigned meaning:

( 1 ) Categories are groups of parameters
which differ by measured testing end
points and, in the case of toxicological
assay, through the presence or absence of
vertebrae in the species of test organisms
used or being a member of the plant
kingdom. All field population survey
techniques are contained within one cate-
gory. Categories are denned in the Cer-
tification Criteria Procedures Document.

(2) Certification is a declaration by the di-
vision that personnel, equipment, records,
quality control procedures, and method-
ology cited by the applicant are accurate
and that the applicants' proficiency has
been considered and found acceptable.

(3) Commercial Laboratory means any lab-
orators' which is seeking to analyze, for
others, wastewater samples for toxicity
measurements or for their resultant im-
pacts on the receiving waters.

(4) Decertification is the loss of certification.

(5) Director means the Director of the
North Carolina Division of Environ-
mental Management, or his successor.

(6) Division means the North Carolina Di-
vision of Environmental Management, or
its successor.

(7) Evaluation samples are samples submit-
ted by the State Laboratory to the com-
mercial, municipal, industrial, or public
laboratory as an unknown toxicant for
measurement of toxicity or as an un-
known set of preserved organisms for
identification to specified levels of taxo-
nomic classification.

(8) Industrial Laboratory means a labora-
tory operated by an industry to analyze
samples from its wastewater treatment
plants for toxicity measurements or re-
sultant impacts to receiving waters.

(9) Parameters are specific quantitative or
qualitative biological effects measured by
toxicological assay methods or field survey
techniques. Parameters are unique and
separate if they are in separate categories
or are performed using different species of
test organisms. In the case of biological
survey, separate parameters are to be
considered fish, macroinvcrtebrates, algae,
aquatic macrophytes, and zooplankton.
Parameters are further defined in the Cer-
tification Criteria Procedures Document.

(10) Public Laboratory means a laboratory
operated by a municipality, county, water
and sewer authority, sanitary district, me-
tropolitan sewerage district, or state or
federal installation or any other govern-
mental unit to analyze samples from its
wastewater treatment plant(s) for toxicity
measurements or resultant impacts to re-
ceiving waters.

(11) Recertification is reaffirmation of certif-
ication.

(12) Split samples are samples from either a
surface water effluent discharge, surface
water, or aquatic biological population
survey which are segregated at the point
of sampling and then analyzed separately
by both the State Laboratory and the
commercial, public or industrial labora-
tory'.

(13) State laboratory means the Biological
Services Unit of the North Carolina Divi-
sion of Environmental Management or its
successor.

(14) Toxicant - Any specific chemical or
compound or mixture of chemicals or
compounds regulated within an NPDES
permit and or defined as a toxic substance

1092

NORTH CAROLINA REGISTER

PROPOSED RULES

in Rule .0202(27) of Subchapter 2B of
these Regulations.

(15) Unacceptable results on performance
evaluation samples or split samples are
those that vary by more than two Stand-
ard Deviations of the value measured by
the division. The State Laboratory may
adopt specific variance or statistical limits
or performance criteria for a particular
testing procedure, including control pop-
ulation effects and taxonomic identifica-
tions, as published in the Certification
Criteria/Procedures Document.

(16) Certification Criteria/Procedures Docu-
ment - A manual approved by the director
defining specific performance criteria and
laboratory capabilities required for certif-
ication, recertification and decertification.

Statutory Authority G.S. 143-215.3(a)(l );
143-215.3(a)(10); 143-215.66.

.1 104 FEES ASSOCIATED WITH

CERTIFICATION PROGRAM

(a) Certification Fees:

(1) Certification Fees shall be a minimum
of five hundred dollars per year
($500.00). The first category will be
certified at a cost of five hundred dollars
($500.00). Additional categories will
be certified at a cost of four hundred
dollars ($400.00) per category. The
addition of parameters not included in
the original certification will be certified
at a cost of one hundred dollars
($100.00) per parameter.

(2) Certification fees are due upon applica-
tion and no later than 45 days prior to
the requested certification date.

(b) Renewal Fees:

(1) The certified laboratory will pay the
state a four hundred dollar ($400.00)
per year renewal fee for each category
of certification or the minimum fee five
hundred dollars ($500.00) if only one
category is certified.

(2) Recertification fees shall be four hun-
dred dollars ($400.00) per category re-
certified. Out-of-state laboratories shall
reimburse the state for actual travel and
subsistence costs incurred in certif-
ication, recertification and maintenance
of certification.

Statutory Authority G.S. 143-21 5.3(a)( I );
143-215.3(a)(10); 143-215.66.

.1105 CERTIFICATION

Certification is affirmation by the director or
his delegate that the requirements specified in
the Certification Criteria Document have been
met for specific categories and parameters and
that all fees associated with certification have
been received.

Statutory Authority G.S. 143-21 5.3(a) ( 1 );
143-215.3(1 )( 10); '143-215.66.

.1106 DECERTIFICATION

(a) Laboratory Decertification once certified,
a laboratory may forfeit its certification for all
categories by failing to:

(1) Maintain the facilities, records, person-
nel, equipment or quality assurance
program as set forth in the application
or these Rules; or

(2) Submit truthful and accurate data re-
ports; or

(3) Pay required fees by the date due.

(b) Categorical Decertification once certified,
a laboratory may be required to forfeit its cer-
tification for a category by failing to:

(1) Obtain acceptable results on two con-
secutive evaluation sample submittals
from the division; or

(2) Obtain acceptable results on two con-
secutive split samples that have also
been analyzed by the division; or

(3) Submit a split sample to the division
as requested; or

(4) Use approved testing techniques; or

(5) Report to the state laboratory equip-
ment changes that would affect its abil-
ity to perform a test category within 30
days of such change; or

(6) Report to the state laboratory analysis
of performance evaluation samples
submitted by the division within re-
quired time of completion; or

(7) Maintain records and perform quality
controls as set forth by these Rules and
the division for a particular category;
or

(8) Maintain equipment required for any
certified paramenter; or

(9) Obtain acceptable results on the ac-
cepted Quality Control Program; or

(10) Maintain a qualified staff.

(1) A laboratory is not to analyze samples
for parameters in decertified categories
for programs described in Rule .1102
of this Section.

(2) A decertified commercial laboratory
must make arrangements to supply
analysis through a certified laboratory

NORTH CAROLINA REGISTER

1093

PROPOSED RULES

during any decertification periods or
notify clients that the analysis can not
be supplied. The decertified laboratory
must supply the division with the name
of the replacement laboratory and the
client(s) involved.

Statutory Authority G.S. 143-21 5. 3(a) ( 1 );
143-215.3(a)(10); 143-215.66.

.1107 RECERTIFICATION

A laboratory decertified for any reason may
be recertified after 30 days, upon satisfactory
demonstration to the state laboratory that de-
ficiencies have been corrected.

Should decertification occur due to either fai-
lure of performance samples or split samples,
a written request must be made to the state
laboratory requesting evaluations similar to the
parameters for which the laboratory was de-
certified. Two consecutive samples must be
successfully evaluated to achieve recertif-
ication. The first of these samples for recertif-
ication will be submitted or arranged by the
division no later than 30 days after receipt of
the written request. The second will be sub-
mitted or arranged no later than 30 days after
the first.

Statutory Authority G.S. !43-215.3(a)( 1 );
l43-2]5.3(a)(10); '143-215.66.

.1108 RECIPROCITY

Laboratories certified by other states or fed-
eral programs may be given reciprocal certif-
ication where such programs meet the
requirements of these Rules. In requesting
certification through reciprocity, laboratories
shall include with the application a copy of
their certification and the rules of the original
certifying agency.

Laboratories certified on the basis of program
equivalency shall pay all fees specified by these
regulations.

Statutory Authority G.S. 143-215. 3(a)(1);
143-2I5.3(a)(10); '143-215.66.

.1109 ADMINISTRATION

(a) The Director of the Division of Envi-
ronmental Management, Department of Na-
tural Resources and Community-
Development, or his delegate, is authorized to
issue certification, to reject applications for
certification, to renew certification, to issue re-
certification, to issue decertification, and to is-
sue reciprocity certification.

(b) Appeals:

( 1 ) In any case where the Director of the
Division of Environmental Manage-
ment, Department of Natural Re-
sources and Community Development
or his delegate denies certification, or
decertifies a laboratory, the laboratory
may petition the director or his delegate
for a hearing. Llpon receipt of such a
request, the director or his delegate shall
convene a hearing of the type provided
in Environmental Management Com-
mission Regulations for Administrative
Hearings, found in Subchapter 21 of
this Chapter, Section .0300.

(2) Appeal from the decision of a hearing
officer appointed by the director or his
delegate shall be governed by the Envi-
ronmental Management Commission
Regulation on administrative hearings.

Statutory Authority G.S. 143-21 ' 5.3(a) ( 1 );
143-215.3(a)(10); 143-2/5.66.

.1110 IMPLEMENTATION

(a) All laboratories subject to these Rules are
required to be certified.

(b) /Ml laboratories subject to these Rules
must submit an application, including fees, for
certification within six months of the effective
date of these Rules. A laboratory which has
submitted a complete application under Rule
.1 105(a) of tliis Section will be deemed to be
in compliance with these Rules pending action
by the division on the application.

(c) Laboratories that cannot meet initial
certification requirements after implementation
date of these Rules must comply with the de-
certification and recertification requirements as
set forth in these Rules.

(d) After the six month implementation pe-
riod for these new Rules, all applications and
fees are due 45 days prior to the requested
certification date.

(e) All certifications are designated for the
period of January 1 to December 31.

Statutory Authority G.S. 143-21 5. 3(a) ( I ');
143-21 5. 3(a) ( 10); 143-215.66.

TITLE 21 - OCCUPATIONAL LICENSING
BOARDS

1 V otice is hereby given in accordance with G.S.
150B-12 that the Board of Medical Examiners
of the State of North Carolina intends to adopt
regulations cited as 21 NCAC 32J .0001 -
.0003; 32K .0/01 - .0104, .0201 - .0208.

1094

NORTH CAROLINA REGISTER

PROPOSED RULES

1 he proposed effective date of this action is
July 1, 19S8.

1 he public hearing will be conducted at 2:00
p.m. on April 15, 1988 at 1313 Navaho Drive,
Raleigh, North Carolina.

i^somment Procedures: Persons interested
may present written or oral statements relevant
to the actions proposed at a hearing to be held
as indicated above. Written statements not
presented at the hearing should be directed be-
fore April 1 , 1988, to the following address:
Administrative Procedures, N.C. Board of
Medical Examiners, P.O. Box 26808, Raleigh,
N.C. 27611-6808.

CHAPTER 32 - BOARD OF MEDICAL
EXAMINERS

SUBCHAPTER 32J - REINSTATEMENT OF
SUSPENDED LICENSE

.0001 APPLICATION FOR REINSTATEMENT

An individual whose license issued by the
board has been suspended pursuant to the
provisions of N.C. General Statute
90-14(a)(10) by reason of adjudication of
mental incompetency may apply to the board
for reinstatement of such license. Such appli-
cation for reinstatement of license shall be
made in writing by letter to the executive sec-
retary of the board addressing, as the applicant
deems appropriate, the reasons why the appli-
cant believes reinstatement of license is then
warranted and whether the applicant is no
longer mentally incompetent. Such applica-
tion may be supported, as the applicant deems
appropriate, by any other written materials the
applicant may choose to submit with the ap-
plication. In all instances of application for
reinstatement of license, the burden shall be
upon the applicant to satisfy the board by a
preponderance of evidence that he is no longer
mentally incompetent.

Statutory Authority G.S. 90-14.

.0002 CONSIDERATION BY BOARD

(a) Upon receipt by the executive secretary
of the board of an application for rein-
statement of license suspended pursuant to
N.C. General Statute 90-14(a)(10), such appli-
cation shall be scheduled for consideration by
the board as soon as reasonably possible at a
regularly scheduled meeting of the board, tak-
ing into account other matters also requiring

the attention of the board. The board, in its
discretion, may request or permit the applicant
to appear before the board on an informal ba-
sis in connection with the board's consider-
ation of such application.

(b) Upon consideration of such an applica-
tion for reinstatement of license, the board, if
satisfied that the applicant is no longer men-
tally incompetent, shall reinstate a license
which has been suspended pursuant to N.C.
General Statute 90-14(a)(10), unless the board
finds that cause exists for revocation of such
license as hereinafter provided.

(c) If, at the time of consideration of an ap-
plication for reinstatement hereunder, the
board or a committee of the board should find
that probable cause exists for revocation of the
applicant's license under N.C. General Statute
90-14, the applicant shall be given notice of the
same and a hearing pursuant to the provisions
of N.C. General Statute 90-14.2 and the ap-
plicable provisions of the Administrative Pro-
cedures Act, N.C. General Statute 150B-38 et
seq., which hearing may be consolidated with
the hearing provided for in Rule .0003 of this
Subchapter.

Statutory Authority G.S. 90-14.

.0003 HEARING UPON DENIAL

Should the board deny an application for
reinstatement of a suspended license, the board
shall notify the applicant of its decision.
Thereafter, if requested by the applicant, a
formal hearing shall be held before the board
pursuant to the provisions of N.C. General
Statute 90-14.2 and the applicable provisions
of the Administrative Procedures Act, N.C.
General Statute 150B-38 et seq., to determine
whether the applicant is no longer mentally
incompetent.

Statutory Authority G.S. 90-14.

SUBCHAPTER 32K - IMPAIRED PHYSICIAN
PROGRAMS

SECTION .0100 - GENERAL INFORMATION

.0101 AUTHORITY

N.C. General Statute 90-21.22, entitled "Peer
Review Agreements," authorizes the Board of
Medical Examiners of the State of North Ca-
rolina to adopt regulations allowing it to enter
into such agreements with the North Carolina
Medical Society and its local medical society
components. The board is further required to
adopt regulations with provisions concerning
impaired physician programs. The regulations

NORTH CAROLINA REGISTER

1095

PROPOSED RULES

in this Subchapter arc adopted by the board
pursuant to this authority.

Statutory Authority G.S. 90-21.22.

.0102 DEFINITIONS

"Board" means the Board of Medical Exam-
iners of the State of North Carolina.

"Program" means the North Carolina Physi-
cians Health and Effectiveness Program estab-
lished for promoting a coordinated and
effective peer review process.

"Committee" means the North Carolina
Medical Society's Physicians Health and Ef-
fectiveness Committee established to function
as a supervisory and advisory body to the
North Carolina Physicians Health and Effec-
tiveness Program.

"Medical director" means the person em-
ployed by the program to coordinate the ac-
tivities of the program.

"Impairment" means mental illness, chemical
dependency, physical illness, and/or aging
problems.

Statutory Authority G.S. 90-21.22.

.0103 PEER REVIEW AGREEMENTS

Peer review activities shall include investi-
gation, review, evaluation of records, reports,
complaints, litigation and other information
about the practices and practice patterns of
physicians licensed by the board, and shall in-
clude programs for impaired physicians. Peer
review agreements may cover some or all of
these activities, as deemed appropriate by the
board.

The board may enter into peer review agree-
ments with the N.C. Medical Society or its lo-
cal medical society components in
conformance with these Regulations.

Statutory Authority G.S. 90-21.22.

.0104 DUE PROCESS

Any action taken pursuant to a peer review
agreement must afford the subject physician
all due process rights enumerated in N.C.
General Statutes 90-14.1 and all relevant due
process rights contained in the Administrative
Procedures Act, N.C. General Statute 150B.

Statutory Authority G.S. 90-21.22.

SECTION .0200 - GUIDELINES FOR
PROGRAM ELEMENTS

.0201 RECEIPT AND USE OF INFORMATION

OF SUSPECTED IMPAIRMENT

(a) Information concerning suspected im-
pairments may be received by the program
through reports by physicians, family members
and others, and through self-referral.

(b) The board shall provide information as
required under N.C. General Statute 90- 14(b).

(c) Upon receipt of information of a sus-
pected impairment, the program shall initiate
an investigation. The medical director of the
program shall be personally involved in inves-
tigations whenever possible.

(d) The program may conduct routine in-
quiries regarding suspected impairments.

(e) Physicians suspected of impairment may
be required to submit to personal interviews
before the medical director of the program, the
committee chairperson, a committee member
or the full committee.

Statutory Authority G.S. 90-21.22.

.0202 INTERVENTION AND REFERRAL

When, following an investigation, impairment
is confirmed, an intervention is conducted us-
ing specialized techniques designed to assist the
physician in acknowledging responsibility for
dealing with the impairment. The physician
is referred to an appropriate treatment source.

( 1 ) Methods and objectives of interventions
are decided on a case by case basis.

(2) Interventions are arranged and conducted
as soon as possible. In cases referred by
the board, a representative of the board
may be present.

(3) Treatment sources are evaluated before
receiving case referrals from the program.

(4) Intervention outcomes, including treat-
ment contracts that are elements of an in-
tervention, are recorded by the program.

Statutory Authority G.S. 90-21.22.

.0203 MONITORING TREATMENT

A treatment source receiving referrals from
the Program shall be monitored as to its ability
to provide:

(1) adequate medical and non-medical staff-
ing;

(2) appropriate treatment;

(3) affordable treatment;

(4) adequate facilities; and

(5) appropriate post-treatment support.

Statutory Authority G.S. 90-21.22.

.0204 MONITORING REHABILITATION
AND PERFORMANCE

1096

NORTH CAROLINA REGISTER

PROPOSED RULES

(a) Monitoring requirements for each physi-
cian shall be designated by the program.
Physicians may be tested regularly or ran-
domly, on program demand.

(b) Treatment sources may be required to
submit reports regarding a physician's rehabil-
itation and performance to the program.

(c) Impaired physicians may be required to
submit to periodic personal interviews before
the medical director of the program, the com-
mittee chairperson, a committee member, or
the full committee.

(d) Appropriate case records are maintained
by the program.

Statutory Authority G.S. 90-21.22.

.0205 MONITORING POST-TREATMENT
SUPPORT

Post-treatment support may include family
counseling, locum tenens, advocacy and other
services and programs deemed appropriate to
improve recoveries.

(1) Treatment sources' post-treatment sup-
port shall be monitored by the program
on an ongoing basis.

(2) The program's post-treatment support
will be monitored by the medical director
of the program and the committee on an
ongoing basis.

Statutory Authority G.S. 90-21.22.

.0206 REPORTS OF INDIVIDUAL CASES
TO THE BOARD

(a) Upon investigation and review of a phy-
sician licensed by the board, the program shall
report immediately to the board detailed in-
formation about any physician as required un-
der N.C. General Statutes 90-21. 22(d).

(b) The program shall quarterly submit a
report to the board on the status of all physi-
cians then involved in the program who have
been previously reported by the board. The
program shall monthly submit to the board a
report on the status of any physician previ-
ously reported to the board then in active
treatment until such time as mutually agreed
to by the board and the program.

Statutory Authority G.S. 90-21.22.

.0207 PERIODIC REPORTING OF

STATISTICAL INFORMATION

Statistical information concerning suspected
impairments, impairments, self-referrals, post-
treatment support and other significant demo-
graphic and substantive information collected
through program operations shall be included

in comprehensive statistical reports compiled
and annually reported to the board by the
program.

Statutory Authority G.S. 90-21.22.

.0208 CONFIDENTIALITY

Any nonpublic information acquired, created,
or used in good faith by the program shall be
treated according to N.C. General Statute 90-
21.22.

Statutory Authority G.S. 90-21.22.

******************

iV otice is hereby given in accordance with G.S.
1 SOB- 12 that the North Carolina Real Estate
Commission intends to adopt and amend regu-
lations cited as 21 NCAC 58 A .0107, .0111 -
.0112, .0301, .0506, .0611; 58B .0501.

1 he proposed effective date of this action is
July 1, 1988.

he public hearing will be conducted at 9:00
a.m. on April 14. 1988 at The North Raleigh
Hilton, 3415 Wake Forest Road, Raleigh,
North Carolina 27609.

C omment Procedures: Comments not pre-
sented at the hearing should be delivered by the
hearing dale to the Real Estate Commission
office, 1313 Navaho Drive, P.O. Box 17 100,
Raleigh, North Carolina 27619.

CHAPTER 58 - REAL ESTATE

SUBCHAPTER 58A - REAL ESTATE
BROKERS AND SALESMEN

SECTION .0100 - GENERAL BROKERAGE

.0107 HANDLING AND ACCOUNTING OF
FUNDS

(e) Real estate brokers shall maintain records
sufficient to v e rify Ae maintenanc e a«4 proper
h«# ef aU funds which the broker may hold fef
another ef others. A Feal estate brok e r shall
retain bank statements, cancelled checks. 4e-
posit tickets, copies ©f contracts, closing stat e
m e nts a«4 emy- other documents necessary a&4
sufficient te- verify a»4 explain record entries.
and retain for a period of three years records
sufficient to verify the adequacy and proper use
of their trust accounts, including, but not lim-
ited to:

NORTH CAROLINA REGISTER

1097

PROPOSED RULES

(1 I * fa I ' aula t O ■ 1 nrnl.'.n 1 «->.--■ ■' ' ■ - 1 1 i~i i ■ t t t-i <-v«-t i ■-» i~ -
1 ) II H. UUIV 1 1 IT. l'Ilfl\l_l rTTTTTCTI 11 CXXTE 1111.'1I1L.I,

a«4 bank statements;
(2) l4*» amount, nature t»4 purpos e ef- de-
posits et«4 from whom Feeeivedj af*4

cancelled checks which shall be refer-
enced to the corresponding transaction
or owner ledger sheet;

( 3 ) &e date truct monies aw

trust ef escrow account; »ft4 deposit
tickets and, if necessary, a supplemental
worksheet for each deposit ticket iden-
tifying the property and the parties to
each transaction for which funds are
deposited;

(4) t+H» amount, date a«4 purpose ef- with

drawals a«4 te whom paid; ttft4 a sepa-
rate ledger sheet for each safe:
transaction and lor each owner of pro-
pert\ managed bv the broker identifying
the property and the parties to the
transaction, the amount, date, running
balance and purpose of deposits and
from whom received, and the amount.

Statutory Authority G.S. 93 A -3

(c).

date, balance, check number and

pur-

pose of disbursements and to whom
paid:

( 5) a current running balance ef- trust monies

ht44 l*y t4+e broker, a journal or check
stubs identifying each transaction and
showing a running balance for all funds
in the account:

(6) copies of contracts, leases and manage-
ment agreements;

closing statements and property man-
aeement statements: and

(S) any other documents necessary and
sufficient to verify and explain record
entries.
All receipts and disbursements of trust monies
by a real estate broker shall be reported in such
a manner as to create a clear audit trail from
deposit tickets, cancelled checks, check stubs,
lournals and transactions or owner ledgers to
bank statements which shall be reconciled to
such records on a monthly basis.

Statutory Authority G.S. 93A-3(c).

.0111 DRAFTING LEGAL INSTRUMENTS

A real estate broker or salesman acting as an
agent in a real estate transaction shall not draft
offers, sales contracts, options, leases, promis-
sory notes, deeds, deeds of trust or other legal
instruments for others; however, a broker or
salesman may complete preprinted offer, sales
contract and lease forms in real estate trans-
actions when authorized or directed to do so
by the parties.

.0112 OFFERS AND SALES CONTRACTS

(a) A broker or salesman acting as an agent
in a real estate transaction shall not use a pre-
printed offer or sales contract form unless the
form adequately describes or specifically re-
quires the entry of the following information:

(1) the names of the buyer and seller;

(2) a legal description of the real property-
sufficient to identify and distinguish it
from all other property;

(3) an itemization of any personal property
to be included in the transaction;

(4) the purchase price and manner of pay-
ment;

(5) any portion of the purchase price that
is to be paid by a promissory note, in-
cluding the amount, interest rate, pay-
ment terms, whether or not the note is
to be secured, and other material terms;

(6) any portion of the purchase price that
is to be paid by the assumption of an
existing loan, including the amount of
such loan, costs to be paid by buyer or
seller, the interest rate and number of
discount points and a condition that the
buyer must be able to qualify for the
assumption of the loan and must make
every reasonable effort to qualify for the
assumption of the loan;

(7) the amount of earnest money, if any,
method of payment, the name of the
broker or firm that will serve as escrow-
agent, an acknowledgment of earnest
money receipt by the escrow agency,
and the criteria for determining disposi-
tion of earnest money, including dis-
puted earnest money, consistent yvith
commission Rule 58A .0107;

(8) any loan that must be obtained by the
buyer as a condition of the contract,
including the amount and type of loan,
interest rate and number of discount
points, loan term, loan commitment
date, and who shall pay loan closing
costs; and a condition that the buyer
shall make every reasonable effort to
obtain the loan;

(9) the buyer's intended use of the property
and a condition that such ase must be
legally permissible;

(10) the amount and purpose of any special
assessment to which the property is
subject and the responsibility of the
parties for any unpaid charges;

109S

NORTH CAROLINA REGISTER

PROPOSED RULES

(11) the date(s) for closing and transfer of
possession;

(12) the signatures of the buyer and seller;

(13) the date(s) of offer and acceptance;

(14) a provision that title to the property
must be delivered at closing by general
warranty deed and must be fee simple
marketable title, free of all encum-
brances except ad valorem taxes for the
current year, utility easements, and any
other encumbrances specifically ap-
proved by the buyer, or a provision
otherwise describing the estate to be
conveyed, and encumbrances, and the
form of conveyance;

(15) the items to be prorated or adjusted at
closing;

(16) who shall pay closing expenses;

(17) the buyer's right to inspect the prop-
erty prior to closing and who shall pay
for repairs and or improvements, if any;
and

(18) a provision that the property shall at
closing be in substantially the same
condition as on the date of the offer
(reasonable wear and tear excepted), or
a description of the required property
condition at closing.

(b) A broker or salesman acting as an agent
in a real estate transaction shall not use a pre-
printed offer or sales contract form containing
the provisions or terms listed below, and shall
not insert or cause such provisions or terms to
be inserted into any such preprinted form at
the time of completion:

(1) any provision concerning the payment
of a commission or compensation, in-
cluding the forfeiture of earnest money,
to any broker, salesman or firm; or

(2) aay provision that attempts to disclaim
the liability of a broker or salesman for
their representations in connection with
the transaction.

Statutory Authority G.S. 93A-3(c).

SECTION .0300 - APPLICATION FOR
LICENSE

.0301 FORM

Any person desiring to obtain a license as real
estate broker or salesman shall make written
application to the commission upon a pre-
scribed form. Such forms are available upon
request to the commission. In general, the
form calls for information such as the appli-
cant's name and address, a recent passport size
photograph of the applicant, past and present

places of residence and employment, educa-
tion, prior real estate licenses, prior arrests and
convictions, unpaid judgements, bankruptcies,
endorsements of good character, a«4 informa-
tion concerning the applicant's experience ef
and education in real estate, and such other
information necessary to identify the applicant
and determine his qualifications and fitness for
licensure.

Statutory Authority G.S. 93A-3(c); 93A-4(a),
(d); I50B-II.

SECTION .0500 - LICENSING

.0506 SALESMAN TO BE SUPERVISED BY
BROKER

(a) A salesman's license is valid only while
he is supervised by the broker-in-charge of the
office where the salesman is engaged in the
business of a real estate salesman. A salesman
shall not act as or hold himself out to be a real
estate broker, nor shall he act as a real estate
salesman outside the supervision of the brok-
er-in-charge of the firm or office where the sa-
lesman is employed.

Statutory Authority G.S. 93A-2 (b); 93A-3
(c); 150B-11.

SECTION .0600 - ADMINISTRATIVE
HEARINGS

.0611 ANSWERS AND OTHER PLEADINGS

(a) A party who has been served with a no-
tice of hearing may file a written answer with
the commission at any time prior to the hear-
ing.

(b) To be considered by the commission,
every answer, motion, request or other plead-
ing must be submitted to the commission in
writing or made during the course of the hear-
ing as a matter of record.

Statutory Authority G.S. 93A-3(c).

SUBCHAPTER 58B - TIME SHARES

SECTION .0500 - HANDLING AND
ACCOUNTING OF FUNDS

.0501 TIME SHARE TRUST FUNDS

(c) A developer shall refund to a time share
purchaser all monies paid by the purchaser in
connection with a time share purchase no later
than thirty days following the date of execution
of the contract, provided that the purchaser
has properly and timely cancelled his purchase.
Where the time share purchaser has paid with

NORTH CAROLINA REGISTER

1099

PROPOSED RULES

a bank card or credit card, the developer shall
refund those payments by issuing a credit
voucher to the purchaser within thirty days
following the date of sale, provided that the
purchaser has property properly and timely
cancelled his purchase.

(d) Every project broker shall obtain and
keep a written representation from the devel-
oper as to whether or not lien-free or hen-su-
bordinated time share instruments can be
recorded within 45 days of the buyer's exe-
cution of the time share purchase agreement.
When a lien-free or lien-subordinated instru-
ment cannot be recorded within said time pe-
riod, on the business day following the
expiration of the ten day time share payment
escrow period, a project broker holding pur
chase deposit money fund ' j f - holl transfer to tfee
developer, marked fef transfer to tbe indo
pendent esefew agaafc; all tuna sbafe purchas e
deposit monies h* other payments received
from a buyer who ha* se+ cancelled hi* tim e
share purchase agreement, shall transfer trom
his trust account all purchase deposit funds or
other payments received from a buver who has
not cancel his purchase agreement, to the
independent escrow agent in a check made
pa\ able to the independent escrow agent. Al-
ternative] . . the check mav be made pavable to
the developer w ith a restnetn :■ endorsement
placed on the back of the check providing "For
deposit to the account of the independent es-
crow agent for the ( name of time share project )
only.

Statutory Authority G.S. 93A-42 (c); 93A-5I.

TITLE 25 - OFFICE OF STATE
PERSONNEL

otice is hereby gh-en in accordance with G.S.
1 SOD- 1 2 that the Office of State
Personnel State Personnel Commission intends
to amend regulations cited as 25 NCAC ID
.0201. .0511; 11 .0603, .0606.

1 he proposed effective date of this action is
July 1. 19SS.

he public hearing will be conducted at 9:00
a.m. on April 26. 1988 at 101 West Peace
Street. Raleigh. Sorlh Carolina.

K^omment Procedures: Interested persons
may present statements orally or in writing at
the hearing or in writing prior to the hearing by

mail addressed to: Drake Maynard, Office of
Stale Personnel, 1 16 West Jones Street, Ra-
leigh, Sorlh Carolina 2761 1 .

CHAPTER 1 - OFFICE OF STATE
PERSONNEL

SUBCHAPTER ID - COMPENSATION

SECTION .0200 - NEW APPOINTMENTS

.0201 DEFINED

(d) The conditions of the probationary and
trainee appointments shall be clearly conveyed
to the applicant prior to appointment. During
the probationary or trainee period, the super-
visor has a responsibility to work closely with
the employee in counseling and assisting the
employee to achieve a satisfactory performance
level; progress of the employee should be re-
viewed during discussions between the em-
ployee and the supervisor. Following the
probationary period when the supervisor, in
consultation with other appropriate adminis-
trators, determines that the employee's per-
formance indicates capability to become a
satisfactory performer and merits retention in
the position, the employee shall be given a
permanent appointment to the class. If in-
stead, the determination is that the employee's
performance indicates that the employee is not
suited for the position and cannot be expected
to meet acceptable standards, or for other
causes related to performance of duties or per-
sonal conduct detrimental to the agency, it is
expected that the employee would be separated
from that position. Except in cases of dis-
crimination, a dismissal from a probationary
appointment under these conditions is not
subject to the right of appeal to the State Per-
sonnel Commission. However, dismissal from
a trainee appointment is subject to the right
of appeal to the State Personnel Commission
in cases of allegations of discrimination or if
the trainee meets the following requirements
tor permanent status-

( 1 ) has a trainee appointment to a pavgrade
60 or lower position and has at least 12
months of continuous state service:

(2)

(31

has a trainee appointment to a position
at pavgrades 61 through 65 and has at
least 36 months of continuous state

service;

has a trainee appointment to a position
at pavgrades 66 through 70 and has at
least 48 months of continuous state

service:

(4) has a trainee appointment to a position
at pavgrade 1 or above and has at

1 1 00

\ORTH CAROLEXA REGISTER

PROPOSED RULES

least 60 months of continuous state
service.

Statutory Authority G.S. 126-4; 126-5.

SECTION .0500 - SEPARATION

.0511 REDUCTION IN FORCE PRIORITY
CONSIDERATION

( 14) Priority reemployment consideration for
employees separated through reduction-in-
force does not include priority to any policy-
making confidential exempt position.

Statutory Authority G.S. 126-5.

SUBCHAPTER II - SERVICE TO LOCAL
GOVERNMENT

SECTION .0600 - RECRUITMENT AND
SELECTION

.0603 APPLICANT INFORMATION AND
APPLICATION

(d) /An applicant may be disqualified if
he, she:

(3) has mad i * a feke statem e nt (4 mate - rial
feet- i» tht* application pro process;
knowingly and willfully discloses false
or misleading information or conceals

dishonorable military service; or con-

ceals prior employment history or other
requested information, either of which
are significantly related to job responsi-
bilities on an application for employ-
ment. If employed before fraudulent

information is discovered, the employee
may be subject to disciplinary action
up to and including immediate dis-
missal from employment. Disquali-
fication shall be mandatory where the
applicant discloses false or misleading
information in order to meet position
qualifications.

Statutory Authority G.S. 126-4; 126.30.

.0606 SELECTION

(a) Selection of Applicants
(2) Selection procedures and methods will
be validly related to the duties and re-
sponsibilities of the vacancy to be filled.
In any vacancy instance, the same se-
lection process will be used consistently
with all applicants. Equal employment
consideration will be afforded. Refer
enee checking a«4 other means ef veri
fying applicant qualifications may be
employed a* necessary. The employing
authority shall verify the status of cre-
dentials and the accuracy of statements
contained iri the application of each
new employee within % days from the
date of the employee's employment. It
should be recognized and explained to
persons selected that the probationary
period is a required extension of the se-
lection process.

Statutory Authority G.S. 126-4; 126-30.

NORTH CAROLINA REGISTER

1101

LIST OF RULES AFFECTED

NOR III CAROLINA ADMINISTRATIVE CODE
EFFECTIVE: March 1, 1988

AGENCY

DEPARTMENT OF ADMINISTRATION

1 NCAC IB .0404
DEPARTMENT OF AGRICULTURE

2 NCAC 9L .1111
DEPARTMENT OF COMMERCE

4 NCAC 5A .0106

.0107
17 .0101 - .0102
.0203

DEPARTMENT OF CORRECTION

5 NCAC 2D .0304
GOVERNOR'S OFFICE

NCAC 2 Executive Order Number 67
Eft 02-18-88

DEPARTMENT OF HUMAN RESOURCES

NCAC 7A

.0101 -

.0105

.0106-

.0109

.0201 -

.0206

.0209 -

.0212

.0208

.0401

.0405 -

.0406

.0502

.0503

.0206

.0401 -

.0403

.0104

.0302 -

.0303

.0328

10A

.0201
.0302

.0443 -

.0444

.0446

.0448

.0502

.1004

.1301

.2202

10G

.0201
.0504

ACTION TAKEN

Repealed
Adopted

Amended
Adopted
Adopted
Adopted

Amended

Repealed

Adopted

Repealed

Adopted

Repealed

Amended

Repealed

Amended

Adopted

Temp. Amended

Expires 07-20-88

Temp. Amended

Expires 07-20-88

Amended

1 102

NORTH CAROLINA REGISTER

LIST OF RULES AFFECTED

12 .0239
14C .1117
181 .0120
26G .0402
26H .0106

.0204

.0303 - .0304
45H .0202

DEPARTMENT OF INSURANCE

NCAC 8

.0903 - .0904
.0906 - .0907

Amended
Amended
Amended
Amended
Amended
Amended
Amended
Amended

Amended
Amended

DEPARTMENT OK LABOR

13 NCAC 7C .0101 - .0102 Amended

DEPARTMENT OF NATURAL RESOl RCES AND COMMUNITY DEVELOPMENT

Temp. Adopted

Expires 08-14-88

Amended

Adopted

Amended

Repealed

Amended

Adopted

Amended

Adopted

1 5 NCAC 1 1

.0001 -

.0003

.0311

.0501

.0524 -

.0525

.0501 -

.0507

211

.0105

.0202

.0203

711

.0209
.0306
.0308
.0310
.0507

.0701 -

.0702

.0211

.0301 -

.0304

130

.0101 -

.0104

.0201 -

.0202

.0301 -

.0304

.0401 -

.0403

.0501 -

.0503

.0601 -

.0605

.0701 -

.0704

SECRETARY OF STATE

18 NCAC 6 .1601 - .1605

DEPARTMENT OF STATE TREASURER

NCAC 9

.0101 .0102
.0201 - .0202
.0301

.0401 - .0403
.0501 - .0502
.0601 - .0602

Adopted

Adopted
Adopted
Adopted
Adopted
Adopted
Adopted

BOARD OF DENTAL EXAMINERS

NORTH CAROLINA REGISTER

1103

LIST OF RULES AFFECTED

NCAC !6B .0303

.0305
16C .0303

.0305
I6M .0001 - .0002
16N .0304

.0505

.0603

.0605

Amended
Amended
Amended
Amended
Amended
Amended
Amended
Amended
Amended

HOARD FOR GEOLOGISTS

NCAC 21 .0106- .0107
.0301 - .0302

Amended
Amended

BOARD OF MEDICAL EXAMINERS

21 NCAC 32B .0109

.0607

OFFICE OF STATE PERSONNEL

.Amended
Adopted

NCAC 1C .0404
ID .0110
IE .0701 - .0703
1H .0604

.0609

.0620 - .0624

.0626

.0628

.Amended

Repealed

.Amended

Adopted

1104

NORTH CAROLINA REGISTER

NC AC INDEX

TITLE/MAJOR DIVISIONS OE THE NORTH CAROLINA ADMINISTRATIVE CODE
TITLE DEPARTMENT

1 Administration, Department of

2 Agriculture, Department of

3 Auditor, Department oi State

4 Commerce, Department of

5 Corrections, Department of

6 Council of State

7 Cultural Resources, Department of

8 Elections, State Board of

9 Governor, Office of the

10 Human Resources, Department of

1 1 Insurance, Department of

12 Justice, Department of

13 I^ibor, Department of

14A Crime Control and PuhLic Safety, Department of

15 Natural Resources and Community Development, Department of

16 Education, Department of

17 Revenue, Department of

18 Secretary of State, Department of
19A Transportation, Department of
20 Treasurer, Department of State

*21 Occupational Licensing Boards

22 Administrative Procedures

23 Community Colleges, Department of

24 Housing Finance Agency

25 State Personnel, Office of

26 Administrative Hearings, Office of

NOTE: Title 21 contains the chapters of the various occupational licensing boards.
CHAPTER LICENSING BOARDS

2 Architecture, Board of

4 Auctioneers, Commission for

6 Barber Examiners, Board of

8 Certified Public Accountant Examiners, Board of

10 Chiropractic Examiners, Board of

12 Contractors, Licensing Board for

14 Cosmetic Art Examiners, Board of

16 Dental Examiners, Board of

18 Electrical Contractors, Board of Examiners of

20 Foresters, Board of Registration for

21 Geologists, Board of

22 Hearing Aid Dealers and Fitters Board
26 Landscape Architects, Licensing Board of

28 Landscape Contractors, Registration Board of

31 Martial & Family Therapy Certification Board

32 Medical Examiners, Board of

33 Midwifery Joint Committee

34 Mortuary Science, Board of

36 Nursing. Board of

37 Nursing Home Administrators, Board of

38 Occupational Therapists, Board of
40 Opticians, Board of

42 Optometry, Board of Examiners in

NOR TH CAROLINA REGIS TER 1 105

NC AC INDEX

44 Osteopathic Examination and Registration, Board of

46 Pharmacy, Board of

48 Physical Therapy. Examining Committee of

50 Plumbing and Heating Contractors, Board of

52 Podiatry Examiners, Board of

53 Practicing Counselors, Board of

54 Practicing Psychologists, Board of

56 Professional Engineers and Land Surveyors, Board of

55 Real Estate Commission

60 Refrigeration Examiners, Board of

62 Sanitarian Examiners, Board of

63 Social Work, Certification Board for

64 Speech and Language Pathologists and

Audiologists, Board of Examiners of

66 Veterinarv Medical Board

1106 NOR TH CAROLINA REGIS TER

CUMULA TIVE INDEX

(April 1987 - March 1988)

1987- 1988

Pages

1 -

138 -
170 -
199 -
286 -
365 -
418 -
488 -
545 -
644 -
819 -
951 -

Issue

137 1

169 2

198 3

285 4

364 5

417 6

487 7

544 8

643 9

818 10

950 11

1111 12

April

May

June

July

August

September

October

November

December

January

February

March

AO - Administrative Order

AG - Attorney General's Opinions

C - Correction

E - Errata

EO - Executive Order

IDE - Final Decision Fetters

FR - Final Rule

GS - General Statute

JO - Judicial Orders or Decision

LRA - List of Rules Affected

M - Miscellaneous

NP - Notice of Petitions

PR - Proposed Rule

SO - Statements of Organization

1 R - Temporary' Rule

ADMINISTRATION

Auxiliary Services, 203 PR

Departmental Rules, 429 PR

N.C. Low-lxvel Radioactive Waste Management Authority, 825 PR

Property and Construction, 388 PR

Purchase and Contract, 651 PR

State Construction, 388 PR

State Employees Combined Campaign, 13 PR, 334 PR

ADMINISTRATIVE HEARINGS

Hearings Division, 408 PR

ACxRICl LTIRE

Food and Drug Protection Division, 204 PR, 429 PR, 652 PR
Markets, 206 PR, 658 PR
N. C. State Fair, 205 PR

NORTH CAROLINA REGISTER

1107

CUMULA THE INDEX

Pesticide Board, 13 PR, 662 PR

Plant Industry, 658 PR J

Standards Division, 206 PR, 657 PR \

Structural Pest Control, 205 PR, 393 PR, 492 PR, 954 PR

Veterinary, 209 PR, 660 PR

COMMERCE

ABC Commission, 663 PR
Cemetery Commission, 429 PR, 664 PR
Credit Union Division, 334 PR
Departmental Rules, 14 PR, 143 PR, 551 PR
Savings and Loan Division, 147 PR
Seafood Industrial Park Authority, 430 PR

COMMUNITY COLLEGES

Community Colleges, 270 PR, 911 PR

CORRECTION

Division of Prisons, 105 PR, 190 PR, 275 FR, 924 PR
Parole Commission, 106 PR

CRIME CONTROL AND PUBLIC SAFETY

Alcohol Law Enforcement, 745 PR
Departmental Rules, 1086 PR
Fire Commission, 1090 PR
Governor's Crime Commission, 565 PR
State Highway Patrol. 159 PR, 745 PR
Victim and Justice Services, 342 PR, 570 PR

EXECUTIVE ORDERS i

Executive Orders 34 - 42, 1 EO \

43 - 46, 138 EO

47 - 49, 171 EO

50, 199 EO

51 - 53,288 EO

54, 384 EO

55 -56,418 EO

57, 545 EO

58 - 62,644 EO

63 - 66,819 EO

67,951 EO

FINAL DECISION LETTERS

Voting Riehts Act, 10 FDL, 141 FDL, 200 FDL, 291 FDL, 385 FDL, 489 FDL, 547 FDL,
647 FDL, 822 FDL, 952 FDL

GENERAL STATUTES

Chapter 7A, 382 GS
Chapter 143B, 286 GS
Chapter 150B, 366 GS

GOVERNOR

State Budget and Management, 828 PR

HUMAN RESOURCES

AFDC, 156 PR, 691 PR

Children's Services, 689 PR ,

Commission of Anatomy, 44 1 PR I

Departmental Rules, 492 PR "

/ 108 NOR TH CAROLINA REGIS TER

CUMULA TIVE INDEX

Drug Commission, 530 FR, 924 FR

Facility Services, 174 PR, 211 PR, 393 PR, 665 PR, 841 PR, 965 PR
Family Services, 152 PR
Health: Epidemiology, 694 PR

Health Services, 237 PR, 432 PR, 494 PR, 696 PR, 967 PR
Individual and Family Support, 153 PR

Medical Assistance, 149 PR, 174 PR, 248 PR, 339 PR, 396 PR, 443 PR, 506 PR
Medical Services, 711 PR, 876 PR
Mental Health: General, 973 PR
Mental Health, Mental Retardation

and Substance Abuse, 15 PR, 247 PR, 337 PR, 442 PR, 557 PR, 874 PR
Mental Health: Other Programs, 1042 PR
N.C. Drug Commission, 1070 PR
Notice, 170 C, 488 C

Social Services Commission, 397 PR, 686 PR
State County Special Assistance, 690 PR
Vocational Rehabilitation Services, 559 PR
Youth Services, 712 PR

INDEPENDENT AGENCIES

Housing Finance, 355 PR

INSURANCE

Departmental Rules, 1070 PR

Life Accident and Health Division, 17 PR

Special Services Division, 564 PR

JUDICIAL ORDERS

Martin v. Melott, 420 JO

JUSTICE

Education and Training Standards, 19 PR

N.C. Alarm Systems, 341 PR, 1075 PR

Private Protective Services, 249 PR, 712 PR

Sheriffs' Education and Training Standards Commission, 714 PR

LABOR

Apprenticeship and Training Division, 1086 PR

Boiler and Pressure Vessel, 1085 PR

Conciliation and Arbitration Division, 1079 PR

Departmental Rules, 1077 PR

Mine and Quarrv, 1079 PR

Office of Occupational Safety and Health, 1079 PR

Wage and Hour, 1084 PR

LICENSING BOARDS

CPA, 269 PR, 351 PR, 516 PR, 766 PR

Chiropractic Examiners, 178 PR

Cosmetic Art Examiners, 593 PR

Dental Examiners, 461 PR

Electrical Contractors, 612 PR

General Contractors, 906 PR

Geologists, 524 PR

Hearing Aid Dealers and Fitters, 769 PR

Medical Examiners, 95 PR, 403 PR, 613 PR, 1094 PR

Mortuary Science, 404 PR, 910 PR

Nursing, Board of, 627 PR

Nursing Home Administrators, 1S2 PR

Opticians, 404 PR

NOR TH CAROLINA REGIS TER 1109

CUMULATIVE INDEX

Pharmacy. 7S6 I'R

Physical Therapy Examiners, 792 PR 1

Practicing Psychologists, 795 PR "

Real Estate, 352 PR, 1097 PR

Refrigeration Examiners, 526 PR

LIST OF RULES AFFECTED

Volume 12, No. 1
(April 1, 1987), 131 ERA
Volume 12, No. 2
(May 1. 1987), 163 ERA
Volume 12. No. 3
(June 1, 1987). 193 ERA
Volume 12, No. 4
(July 1, 1987), 277 ERA
Volume 12, No. 5
(August 1, 1987), 358 LRA
Volume 12. No. 6
(September 1, 1987), 411 LRA
October 1, 1987, 479 LRA
November 1, 1987, 537 ERA
December 1, 1987, 634 LRA
January 1. 1988, 939 LRA
February 1, 198S, 942 ERA
March 1, 1988, 1102 ERA

NATURAL RESOURCES AND COMMUNITY DEVELOPMENT

Coastal Management, 94 PR, 160 PR, 259 PR, 347 PR, 365 C, 401 PR, 445 PR, 510 PR, 573 PR

Community Assistance, 511 PR, 758 PR

Departmental Rules, 1090 PR i

Economic Opportunity, 161 PR. 765 PR "

Environmental Management, 29 PR, 249 PR, 346 PR, 506 PR, 572 PR, 746 PR, 876 PR, 1091 PR

Marine Fishenes, 84 PR, 255 PR

Wildlife Resources and Water Safety, 175 PR, 268 PR, 446 PR, 575 PR

PUBLIC EDUCATION

Elementary and Secondary, 348 PR

REVENUE

Corporate Income Franchise Tax, 470 FR, 632 FR
Departmental Rules, 806 FR
Individual Income Tax, 107 FR. 806 FR
Intangible Tax, 930 FR
Motor Fuels Tax, 108 FR
Sales and Use Tax, 924 FR

SECRETARY OF SLATE

Securities Division, 931 FR

STATE PERSONNEL

Employee Benefits, 183 PR, 408 PR

Office of State Personnel, 96 PR, 465 PR, 801 PR. 1100 PR

STATE TREASl RER

Departmental Rules, 161 PR

Educational Facilities Finance Agency, 349 PR, 475 FR

Investment Program, 177 PR <

STATEMENTS OF ORGANIZATION

1110 NOR TH CAROLINA REGIS TER

CUMULA TIVE INDEX

Statements of Organization, 295 SO

TRANSPORTATION

Division of Highways, 410 FR, 471 FR, 936 FR
Motor Vehicles, 109 FR, 632 FR, 937 FR

NOR TH CAROLINA REGIS TER 1111

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